Home > Horizon Bank > Fiduciary settlements, surcharges, and other losses
Horizon Bank, Fiduciary settlements, surcharges, and other losses
2024-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 3 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2024-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 2 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2024-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 7 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2023-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 4 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2023-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 5 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2023-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 3 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2023-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2022-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2022-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2022-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2022-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2021-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | $1,948,000 | 10 |
Fiduciary settlements, surcharges, and other losses, managed accounts | $8,000 | 78 |
Employee benefit and retirement-related gross losses for managed accounts | $1,916,000 | 3 |
Gross losses for investment management and investment managed accounts | $0 | 94 |
Gross losses for other fiduciary accounts and related managed accounts | $24,000 | 13 |
Gross losses for non-managed accounts | $0 | 91 |
Fiduciary settlements, surcharges, and other losses | $0 | 32 |
Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 49 |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 12 |
Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 53 |
Recoveries fiduciary and related services income | $8,000 | 39 |
Fiduciary settlements, surcharges, and other - recoveries | $2,000 | 30 |
Employee benefit and retirement-related trust and agency accounts-recoveries | $1,000 | 13 |
Investment management and investment advisory agency accounts recoveries | $0 | 18 |
Other fiduciary accounts and related services-recoveries | $5,000 | 18 |
2021-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2021-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2021-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2020-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | $107,000 | 53 |
Fiduciary settlements, surcharges, and other losses, managed accounts | $17,000 | 58 |
Employee benefit and retirement-related gross losses for managed accounts | $85,000 | 11 |
Gross losses for investment management and investment managed accounts | $0 | 90 |
Gross losses for other fiduciary accounts and related managed accounts | $5,000 | 33 |
Gross losses for non-managed accounts | $0 | 91 |
Fiduciary settlements, surcharges, and other losses | $0 | 32 |
Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 49 |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 15 |
Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 52 |
Recoveries fiduciary and related services income | $34,000 | 34 |
Fiduciary settlements, surcharges, and other - recoveries | $9,000 | 14 |
Employee benefit and retirement-related trust and agency accounts-recoveries | $25,000 | 6 |
Investment management and investment advisory agency accounts recoveries | $0 | 20 |
Other fiduciary accounts and related services-recoveries | $0 | 28 |
2020-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2020-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2020-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2019-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | $19,000 | 79 |
Fiduciary settlements, surcharges, and other losses, managed accounts | $1,000 | 104 |
Employee benefit and retirement-related gross losses for managed accounts | $9,000 | 24 |
Gross losses for investment management and investment managed accounts | $0 | 87 |
Gross losses for other fiduciary accounts and related managed accounts | $9,000 | 23 |
Gross losses for non-managed accounts | $0 | 87 |
Fiduciary settlements, surcharges, and other losses | $0 | 37 |
Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 48 |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 21 |
Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 48 |
Recoveries fiduciary and related services income | $36,000 | 24 |
Fiduciary settlements, surcharges, and other - recoveries | $32,000 | 11 |
Employee benefit and retirement-related trust and agency accounts-recoveries | $4,000 | 9 |
Investment management and investment advisory agency accounts recoveries | $0 | 22 |
Other fiduciary accounts and related services-recoveries | $0 | 31 |
2019-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2019-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2019-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2018-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | $0 | 178 |
Fiduciary settlements, surcharges, and other losses, managed accounts | $0 | 130 |
Employee benefit and retirement-related gross losses for managed accounts | $0 | 70 |
Gross losses for investment management and investment managed accounts | $0 | 101 |
Gross losses for other fiduciary accounts and related managed accounts | $0 | 46 |
Gross losses for non-managed accounts | $0 | 97 |
Fiduciary settlements, surcharges, and other losses | $0 | 31 |
Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 64 |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 19 |
Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 59 |
Recoveries fiduciary and related services income | $0 | 67 |
Fiduciary settlements, surcharges, and other - recoveries | $0 | 42 |
Employee benefit and retirement-related trust and agency accounts-recoveries | $0 | 21 |
Investment management and investment advisory agency accounts recoveries | $0 | 20 |
Other fiduciary accounts and related services-recoveries | $0 | 27 |
2018-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2018-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2018-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2017-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | $64,000 | 56 |
Fiduciary settlements, surcharges, and other losses, managed accounts | $14,000 | 62 |
Employee benefit and retirement-related gross losses for managed accounts | $13,000 | 22 |
Gross losses for investment management and investment managed accounts | $37,000 | 25 |
Gross losses for other fiduciary accounts and related managed accounts | $0 | 38 |
Gross losses for non-managed accounts | $0 | 99 |
Fiduciary settlements, surcharges, and other losses | $0 | 34 |
Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 55 |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 17 |
Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 58 |
Recoveries fiduciary and related services income | $0 | 71 |
Fiduciary settlements, surcharges, and other - recoveries | $0 | 39 |
Employee benefit and retirement-related trust and agency accounts-recoveries | $0 | 19 |
Investment management and investment advisory agency accounts recoveries | $0 | 20 |
Other fiduciary accounts and related services-recoveries | $0 | 38 |
2017-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2017-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2017-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2016-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | $168,000 | 35 |
Fiduciary settlements, surcharges, and other losses, managed accounts | $88,000 | 28 |
Employee benefit and retirement-related gross losses for managed accounts | $76,000 | 13 |
Gross losses for investment management and investment managed accounts | $4,000 | 61 |
Gross losses for other fiduciary accounts and related managed accounts | $0 | 40 |
Gross losses for non-managed accounts | $0 | 98 |
Fiduciary settlements, surcharges, and other losses | $0 | 32 |
Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 54 |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 19 |
Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 58 |
Recoveries fiduciary and related services income | $0 | 81 |
Fiduciary settlements, surcharges, and other - recoveries | $0 | 44 |
Employee benefit and retirement-related trust and agency accounts-recoveries | $0 | 27 |
Investment management and investment advisory agency accounts recoveries | $0 | 34 |
Other fiduciary accounts and related services-recoveries | $0 | 32 |
2016-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2016-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2016-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2015-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | $7,000 | 112 |
Fiduciary settlements, surcharges, and other losses, managed accounts | $7,000 | 71 |
Employee benefit and retirement-related gross losses for managed accounts | $0 | 69 |
Gross losses for investment management and investment managed accounts | $0 | 84 |
Gross losses for other fiduciary accounts and related managed accounts | $0 | 46 |
Gross losses for non-managed accounts | $0 | 106 |
Fiduciary settlements, surcharges, and other losses | $0 | 31 |
Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 61 |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 25 |
Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 63 |
Recoveries fiduciary and related services income | $0 | 67 |
Fiduciary settlements, surcharges, and other - recoveries | $0 | 38 |
Employee benefit and retirement-related trust and agency accounts-recoveries | $0 | 26 |
Investment management and investment advisory agency accounts recoveries | $0 | 26 |
Other fiduciary accounts and related services-recoveries | $0 | 37 |
2015-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2015-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2015-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2014-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | $3,000 | 136 |
Fiduciary settlements, surcharges, and other losses, managed accounts | $0 | 122 |
Employee benefit and retirement-related gross losses for managed accounts | $2,000 | 44 |
Gross losses for investment management and investment managed accounts | $0 | 85 |
Gross losses for other fiduciary accounts and related managed accounts | $1,000 | 43 |
Gross losses for non-managed accounts | $0 | 100 |
Fiduciary settlements, surcharges, and other losses | $0 | 33 |
Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 51 |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 19 |
Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 56 |
Recoveries fiduciary and related services income | $4,000 | 47 |
Fiduciary settlements, surcharges, and other - recoveries | $0 | 27 |
Employee benefit and retirement-related trust and agency accounts-recoveries | $4,000 | 12 |
Investment management and investment advisory agency accounts recoveries | $0 | 20 |
Other fiduciary accounts and related services-recoveries | $0 | 29 |
2014-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2014-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2014-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2013-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | $15,000 | 96 |
Fiduciary settlements, surcharges, and other losses, managed accounts | $1,000 | 110 |
Employee benefit and retirement-related gross losses for managed accounts | $5,000 | 36 |
Gross losses for investment management and investment managed accounts | $9,000 | 49 |
Gross losses for other fiduciary accounts and related managed accounts | $0 | 46 |
Gross losses for non-managed accounts | $3,000 | 83 |
Fiduciary settlements, surcharges, and other losses | $1,000 | 30 |
Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 66 |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 19 |
Other fiduciary accounts and related services-gross losses nonmanaged asts | $2,000 | 50 |
Recoveries fiduciary and related services income | $1,000 | 61 |
Fiduciary settlements, surcharges, and other - recoveries | $0 | 35 |
Employee benefit and retirement-related trust and agency accounts-recoveries | $0 | 28 |
Investment management and investment advisory agency accounts recoveries | $0 | 22 |
Other fiduciary accounts and related services-recoveries | $1,000 | 31 |
2013-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2013-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2013-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2012-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | $0 | 170 |
Fiduciary settlements, surcharges, and other losses, managed accounts | $0 | 131 |
Employee benefit and retirement-related gross losses for managed accounts | $0 | 75 |
Gross losses for investment management and investment managed accounts | $0 | 76 |
Gross losses for other fiduciary accounts and related managed accounts | $0 | 47 |
Gross losses for non-managed accounts | $0 | 98 |
Fiduciary settlements, surcharges, and other losses | $0 | 36 |
Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 59 |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 19 |
Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 53 |
Recoveries fiduciary and related services income | $0 | 72 |
Fiduciary settlements, surcharges, and other - recoveries | $0 | 42 |
Employee benefit and retirement-related trust and agency accounts-recoveries | $0 | 29 |
Investment management and investment advisory agency accounts recoveries | $0 | 25 |
Other fiduciary accounts and related services-recoveries | $0 | 29 |
2012-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2012-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2012-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2011-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | $23,000 | 88 |
Fiduciary settlements, surcharges, and other losses, managed accounts | $0 | 138 |
Employee benefit and retirement-related gross losses for managed accounts | $6,000 | 31 |
Gross losses for investment management and investment managed accounts | $17,000 | 36 |
Gross losses for other fiduciary accounts and related managed accounts | $0 | 41 |
Gross losses for non-managed accounts | $0 | 106 |
Fiduciary settlements, surcharges, and other losses | $0 | 37 |
Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 65 |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 16 |
Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 56 |
Recoveries fiduciary and related services income | $5,000 | 54 |
Fiduciary settlements, surcharges, and other - recoveries | $0 | 46 |
Employee benefit and retirement-related trust and agency accounts-recoveries | $5,000 | 19 |
Investment management and investment advisory agency accounts recoveries | $0 | 24 |
Other fiduciary accounts and related services-recoveries | $0 | 32 |
2011-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2011-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2011-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2010-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | $64,000 | 56 |
Fiduciary settlements, surcharges, and other losses, managed accounts | $0 | 134 |
Employee benefit and retirement-related gross losses for managed accounts | $20,000 | 23 |
Gross losses for investment management and investment managed accounts | $0 | 92 |
Gross losses for other fiduciary accounts and related managed accounts | $44,000 | 11 |
Gross losses for non-managed accounts | $0 | 90 |
Fiduciary settlements, surcharges, and other losses | $0 | 27 |
Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 55 |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 16 |
Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 56 |
Recoveries fiduciary and related services income | $3,000 | 58 |
Fiduciary settlements, surcharges, and other - recoveries | $0 | 39 |
Employee benefit and retirement-related trust and agency accounts-recoveries | $3,000 | 20 |
Investment management and investment advisory agency accounts recoveries | $0 | 21 |
Other fiduciary accounts and related services-recoveries | $0 | 35 |
2010-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2010-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2010-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2009-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | $0 | 187 |
Fiduciary settlements, surcharges, and other losses, managed accounts | $0 | 142 |
Employee benefit and retirement-related gross losses for managed accounts | $0 | 90 |
Gross losses for investment management and investment managed accounts | $0 | 100 |
Gross losses for other fiduciary accounts and related managed accounts | $0 | 50 |
Gross losses for non-managed accounts | $0 | 111 |
Fiduciary settlements, surcharges, and other losses | $0 | 37 |
Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 66 |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 26 |
Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 62 |
Recoveries fiduciary and related services income | $0 | 75 |
Fiduciary settlements, surcharges, and other - recoveries | $0 | 48 |
Employee benefit and retirement-related trust and agency accounts-recoveries | $0 | 29 |
Investment management and investment advisory agency accounts recoveries | $0 | 27 |
Other fiduciary accounts and related services-recoveries | $0 | 34 |
2009-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $1,000 | 1 |
Fiduciary or related activity | $1,000 | 1 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2009-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,701 |
Fiduciary or related activity | $0 | 1,617 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2009-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,711 |
Fiduciary or related activity | $0 | 1,627 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2008-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,723 |
Fiduciary or related activity | $0 | 1,634 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2008-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,749 |
Fiduciary or related activity | $0 | 1,659 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2008-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,767 |
Fiduciary or related activity | $0 | 1,672 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2008-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,777 |
Fiduciary or related activity | $0 | 1,684 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2007-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,786 |
Fiduciary or related activity | $0 | 1,696 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2007-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,805 |
Fiduciary or related activity | $0 | 1,715 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2007-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,809 |
Fiduciary or related activity | $0 | 1,721 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2007-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,815 |
Fiduciary or related activity | $0 | 1,720 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2006-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,827 |
Fiduciary or related activity | $0 | 1,740 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2006-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,839 |
Fiduciary or related activity | $0 | 1,758 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2006-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,855 |
Fiduciary or related activity | $0 | 1,774 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2006-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,863 |
Fiduciary or related activity | $0 | 1,786 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2005-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,867 |
Fiduciary or related activity | $0 | 1,792 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2005-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,877 |
Fiduciary or related activity | $0 | 1,783 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2005-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,881 |
Fiduciary or related activity | $0 | 1,792 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2005-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,895 |
Fiduciary or related activity | $0 | 1,801 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2004-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,898 |
Fiduciary or related activity | $0 | 1,821 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2004-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,908 |
Fiduciary or related activity | $0 | 1,824 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2004-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,920 |
Fiduciary or related activity | $0 | 1,840 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2004-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,930 |
Fiduciary or related activity | $0 | 1,848 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2003-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,948 |
Fiduciary or related activity | $0 | 1,873 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2003-09-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,971 |
Fiduciary or related activity | $0 | 1,895 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2003-06-30 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 1,985 |
Fiduciary or related activity | $0 | 1,908 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2003-03-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 2,011 |
Fiduciary or related activity | $0 | 1,921 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2002-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 1 |
Fiduciary power exercised | $0 | 2,027 |
Fiduciary or related activity | $0 | 1,927 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2001-12-31 | Rank | |
Fiduciary powers granted | $1,000 | 2 |
Fiduciary power exercised | $0 | 1,948 |
Fiduciary or related activity | $0 | 1,876 |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
2000-12-31 | Rank | |
Fiduciary powers granted | NA | NA |
Fiduciary power exercised | NA | NA |
Fiduciary or related activity | NA | NA |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
1999-12-31 | Rank | |
Fiduciary powers granted | NA | NA |
Fiduciary power exercised | NA | NA |
Fiduciary or related activity | NA | NA |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
1998-12-31 | Rank | |
Fiduciary powers granted | NA | NA |
Fiduciary power exercised | NA | NA |
Fiduciary or related activity | NA | NA |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
1997-12-31 | Rank | |
Fiduciary powers granted | NA | NA |
Fiduciary power exercised | NA | NA |
Fiduciary or related activity | NA | NA |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
1996-12-31 | Rank | |
Fiduciary powers granted | NA | NA |
Fiduciary power exercised | NA | NA |
Fiduciary or related activity | NA | NA |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
1995-12-31 | Rank | |
Fiduciary powers granted | NA | NA |
Fiduciary power exercised | NA | NA |
Fiduciary or related activity | NA | NA |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
1994-12-31 | Rank | |
Fiduciary powers granted | NA | NA |
Fiduciary power exercised | NA | NA |
Fiduciary or related activity | NA | NA |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
1993-12-31 | Rank | |
Fiduciary powers granted | NA | NA |
Fiduciary power exercised | NA | NA |
Fiduciary or related activity | NA | NA |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |
1992-12-31 | Rank | |
Fiduciary powers granted | NA | NA |
Fiduciary power exercised | NA | NA |
Fiduciary or related activity | NA | NA |
Gross losses for managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
Gross losses for investment management and investment managed accounts | NA | NA |
Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
Gross losses for non-managed accounts | NA | NA |
Fiduciary settlements, surcharges, and other losses | NA | NA |
Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
Recoveries fiduciary and related services income | NA | NA |
Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
Investment management and investment advisory agency accounts recoveries | NA | NA |
Other fiduciary accounts and related services-recoveries | NA | NA |