| EICHLER PETER JAMES | CHAIRMAN, PRESIDENT, CEO, CIO; CHAIRMAN, PRESIDENT, CEO, CIO, AND INTERIM CCO; PRESIDENT, CHAIRMAN, CEO (+2 more) | — |
| PEIKIN ROGER B | CHIEF LEGAL OFFICER, CFO; EXECUTIVE VICE-PRESIDENT, CHIEF LEGAL OFFICER, CFO; EXECUTIVE VICE-PRESIDENT, CHIEF LEGAL OFFICER, CFO, CCO (+2 more) | — |
| BOSKOVICH JOSEPH MICHAEL | SHAREHOLDER; VICE CHAIRMAN | — |
| SWANSON ANN MARIE | CHIEF COMPLIANCE OFFICER; SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| LANEY MICHAEL LEROY | CFO | — |
| BARNES PATRICIA CAMP | SR. VICE PRESIDENT; SR. VICE PRESIDENT, DIRECTOR | — |
| SANTOS ARVIN ALFRED DOMINGO | COO | — |
| LEE BRUCE ARENA | DIRECTOR | — |
| C'DEBACA ERNEST JOHN | CHIEF COMPLIANCE OFFICER | — |
| ROPER CHRISTINE WRIGHT | CHIEF COMPLIANCE OFFICER | — |
| DENEVE JORGE | SR. VICE PRESIDENT, GENERAL COUNSEL | — |