CARRET ASSET MANAGEMENT, LLC
Adviser information for CARRET ASSET MANAGEMENT, LLC last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 23 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,525 | $3.1B |
| Non-Discretionary | 0 | $0 |
| Total | 2,525 | $3.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 836 | $226.6M |
| HNW Individuals | 320 | $921.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $125.9M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 15 | $29.7M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 1,317 | $1.6B |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 36 | $183.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 546.1M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CHOICE MANAGEMENT ACCOUNT PROGRAM | KOVACK SECURITIES, INC. |
| OSM PROGRAM | RAYMOND JAMES |
| MANAGED ACCOUNTS SOLUTIONS PROGRAM | JEFFERIES INVESTMENT ADVISERS, LLC |
| INVESTMENT CONSULTING SERVICES | MORGAN STANLEY/SMITH BARNEY |
| HORIZON PROGRAM | STIFEL, NICOLAUS & COMPANY, INC. |
| MANAGED ASSETS CONSULTING PROGRAM | UBS FINANCIAL SERVICES |
| LOCKWOOD INVESTMENT STRATEGIES / BNY MELLON ADVISERS | BENJAMIN EDWARDS & CO. |
Principal Office
360 MADISON AVENUE20TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 AM TO 5:30 PM
Tel: 212-593-3800, Fax: 212-593-9796
Websites
Chief Compliance Officer
MARCO VEGA
PRESIDENT/CCO
360 MADISON AVENUE
20TH FLOOR
NEW YORK
NY
United States
Tel:
212-593-3800
Fax:
212-593-9796
M****@*********M
(Full email address available in API data)
Regulatory Contact
MAUREEN BYRD
ASSOCIATE DIRECTOR, OPERATIONS AND COMPLIANCE
360 MADISON AVENUE
20TH FLOOR
NEW YORK
NY
United States
Tel:
212-593-3800
Fax:
212-593-9796
M****@*********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| VEGA, MARCO, ANTONIO | Individual | – | PRESIDENT / CCO | 09/2005 | < 5% |
| REISNER, WAYNE, STANLEY | Individual | – | PRINCIPAL, SENIOR MANAGING DIRECTOR | 09/2005 | < 5% |
| GRAYBILL, JASON, RICHARD | Individual | – | PRINCIPAL, SENIOR MANAGING DIRECTOR | 01/2014 | < 5% |
| KLEIN, NEIL, DOUGLAS | Individual | – | PRINCIPAL, SENIOR MANAGING DIRECTOR | 01/2014 | < 5% |
| CARRET HOLDINGS, INC. | Domestic Entity | – | MEMBER | 02/2019 | > 75% |
| SBI GLOBAL ASSET MANAGEMENT CO., LTD. (JAPAN) | Foreign Entity | CARRET HOLDINGS, INC. | SHAREHOLDER | 01/2020 | 50-75% |
| SBI HOLDINGS, INC. JAPAN | Foreign Entity | SBI GLOBAL ASSET MANAGEMENT CO., LTD. (JAPAN) | SHAREHOLDER | 02/2022 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 1st, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 3M COMPANY | COM | 1M | 10K | – |
| ABBOTT LABORATORIES | COM | 5M | 51K | – |
| ABBVIE INC | COM | 9M | 52K | – |
| ADOBE INC | COM | 2M | 4K | – |
| AES CORP | COM | 2M | 88K | – |
| AFLAC INC | COM | 565K | 6K | – |
| AKAMAI TECHNOLOGIES | COM | 1M | 15K | – |
| ALLIANT ENERGY CORP | COM | 214K | 4K | – |
| ALLSTATE CORP | COM | 7M | 44K | – |
| ALPHABET INC CL A | COM | 21M | 117K | – |
| ALPHABET INC CL C | COM | 32M | 175K | – |
| AMAZON.COM, INC | COM | 12M | 62K | – |
| AMERICAN ELEC PWR | COM | 5M | 62K | – |
| AMERICAN EXPRESS CO | COM | 13M | 57K | – |
| AMERICAN WATER WORKS INC | COM | 582K | 5K | – |
| AMERIPRISE FINANCIAL INC | COM | 3M | 7K | – |
| AMETEK INC NEW | COM | 2M | 10K | – |
| AMGEN INC | COM | 1M | 4K | – |
| ANALOG DEVICES INC COM | COM | 2M | 8K | – |
| APPLE INC | COM | 71M | 339K | – |
| APPLIED MATERIALS INC DELAWARE | COM | 8M | 35K | – |
| ASSOCIATES FIRST CAPITAL CORPO | COM | 0 | 16K | – |
| AT&T INC | COM | 2M | 95K | – |
| AUTOMATIC DATA PROCESSING INC. | COM | 2M | 10K | – |
| AUTOZONE INC | COM | 1M | 343 | – |
| AVNET INC | COM | 556K | 11K | – |
| BANK NEW YORK MELLON CORP | COM | 1M | 24K | – |
| BANK OF AMERICA CORP | COM | 5M | 121K | – |
| BECTON DICKINSON & CO | COM | 3M | 12K | – |
| BERKSHIRE HATHAWAY - A | COM | 9M | 15 | – |
| BERKSHIRE HATHAWAY INC CL B | COM | 24M | 59K | – |
| BIONANO GENOMICS INC | COM | 31K | 45K | – |
| BLACKROCK INC | COM | 234K | 297 | – |
| BLACKSTONE INC | COM | 6M | 47K | – |
| BOEING CO | COM | 2M | 9K | – |
| BRISTOL MYERS SQUIBB CO | COM | 2M | 56K | – |
| BROADCOM INC | COM | 4M | 3K | – |
| CANNABIST COMPNAY HOLDINGS INC | COM | 11K | 58K | – |
| CARLYLE GROUP INC | COM | 482K | 12K | – |
| CARRIER GLOBAL CORPORATION | COM | 623K | 10K | – |
| CATERPILLAR INC | COM | 819K | 2K | – |
| CHEVRON CORP | COM | 13M | 82K | – |
| CHUBB LIMITED | COM | 308K | 1K | – |
| CHURCH & DWIGHT CO INC | COM | 6M | 60K | – |
| CIGNA GROUP | COM | 284K | 860 | – |
| CISCO SYS INC | COM | 9M | 196K | – |
| CITIGROUP INC | COM | 2M | 29K | – |
| CLOROX COMPANY DE | COM | 358K | 3K | – |
| COCA-COLA CO | COM | 879K | 14K | – |
| COHERENT CORP | COM | 310K | 4K | – |
| COLGATE PALMOLIVE CO | COM | 2M | 16K | – |
| COMCAST CORP CL A | COM | 3M | 71K | – |
| CONOCOPHILLIPS | COM | 6M | 53K | – |
| CONSOLIDATED EDISON INC | COM | 1M | 12K | – |
| CONSTELLATION ENERGY GROUP INC | COM | 224K | 1K | – |
| CORNING INC | COM | 4M | 105K | – |
| CORTEVA INC | COM | 243K | 5K | – |
| COSTCO WHOLESALE CORP. | COM | 4M | 4K | – |
| CRANE COMPANY | COM | 639K | 4K | – |
| CRANE NXT CO | COM | 280K | 5K | – |
| CVS HEALTH CORPORATION | COM | 6M | 106K | – |
| D R HORTON INC COM | COM | 3M | 24K | – |
| DEERE & CO | COM | 3M | 8K | – |
| DELTA AIR LINES INC | COM | 255K | 5K | – |
| DOMINION ENERGY, INC. | COM | 2M | 46K | – |
| DOW CHEM CO COM | COM | 3M | 52K | – |
| DROPBOX INC CL A | COM | 213K | 9K | – |
| DUKE ENERGY CORP | COM | 625K | 6K | – |
| DUPONT DE NEMOURS INC | COM | 2M | 26K | – |
| EASTMAN CHEMICAL | COM | 1M | 12K | – |
| EATON CORP | COM | 9M | 29K | – |
| ELEVANCE HEALTH INC | COM | 228K | 420 | – |
| ELI LILLY & CO | COM | 5M | 6K | – |
| EMERSON ELECTRIC CO | COM | 3M | 27K | – |
| EXELON CORP | COM | 250K | 7K | – |
| EXXON MOBIL CORP | COM | 4M | 37K | – |
| F&G ANNUITIES AND LIFE INC | COM | 663K | 17K | – |
| FEDEX CORPORATION | COM | 9M | 30K | – |
| FIDELITY NATIONAL FINANCIAL | COM | 2M | 32K | – |
| FIFTH THIRD BANCORP | COM | 2M | 55K | – |
| FORD MTR CO | COM | 515K | 41K | – |
| GALLAGHER (ARTHUR J.) & CO. | COM | 253K | 975 | – |
| GE AEROSPACE | COM | 702K | 4K | – |
| GENERAL MOTORS CORP | COM | 467K | 10K | – |
| GENL DYNAMICS CORP COM | COM | 596K | 2K | – |
| GILEAD SCIENCES | COM | 428K | 6K | – |
| GOLDMAN SACHS GROUP INC | COM | 6M | 13K | – |
| HARTFORD FINANCIAL SERVICES GR | COM | 7M | 65K | – |
| HCA HEALTHCARE INC. | COM | 3M | 10K | – |
| HERSHEY COMPANY | COM | 3M | 19K | – |
| HEWLETT PACKARD ENTERPRISE COM | COM | 473K | 22K | – |
| HOME DEPOT INC | COM | 6M | 16K | – |
| HONEYWELL INTL INC | COM | 2M | 8K | – |
| HUNTINGTON BANCSHARES INC | COM | 182K | 14K | – |
| ILLINOIS TOOL WORKS INC | COM | 3M | 11K | – |
| INTEL CORP | COM | 3M | 97K | – |
| INTL BUSINESS MACHINES CORP | COM | 3M | 19K | – |
| INTL PAPER CO | COM | 750K | 17K | – |
| INTUIT CORP | COM | 263K | 400 | – |
| IQVIA HOLDINGS INC | COM | 2M | 7K | – |
| JOHNSON & JOHNSON | COM | 12M | 85K | – |
| JPMORGAN CHASE & CO | COM | 31M | 151K | – |
| KEYCORP -NEW | COM | 169K | 12K | – |
| KIMBERLY CLARK CORP | COM | 2M | 11K | – |
| L3HARRIS TECHNOLOGIES INC | COM | 4M | 17K | – |
| LAM RESEARCH CORP COM | COM | 10M | 9K | – |
| LEIDOS HOLDINGS INC. | COM | 220K | 2K | – |
| LOCKHEED MARTIN CORP | COM | 851K | 2K | – |
| LOWES COS INC | COM | 2M | 8K | – |
| LYFT INC | COM | 166K | 12K | – |
| M & T BK CORP COM | COM | 384K | 3K | – |
| MARATHON PETROLEUM CORP | COM | 2M | 9K | – |
| MARRIOTT INTL INC NEW CL A | COM | 790K | 3K | – |
| MARSH & MCLENNAN COS | COM | 333K | 2K | – |
| MASTERCARD INC CL A COM | COM | 6M | 12K | – |
| MCDONALDS CORP | COM | 3M | 12K | – |
| MERCADOLIBRE INC | COM | 748K | 455 | – |
| MERCK & CO INC | COM | 10M | 79K | – |
| META PLATFORMS INC | COM | 12M | 23K | – |
| METLIFE | COM | 4M | 56K | – |
| MICROSOFT CORP | COM | 54M | 120K | – |
| MONDELEZ INTERNATIONAL INC | COM | 1M | 21K | – |
| MORGAN STANLEY | COM | 3M | 33K | – |
| NETFLIX COM INC COM | COM | 786K | 1K | – |
| NEXTERA ENERGY INC | COM | 1M | 17K | – |
| NIKE INC - B | COM | 350K | 5K | – |
| NORFOLK SOUTHERN CORP | COM | 998K | 5K | – |
| NRG ENERGY INC | COM | 642K | 8K | – |
| NVIDIA CORP | COM | 7M | 54K | – |
| NXP SEMICONDUCTORS NV | COM | 614K | 2K | – |
| OCCIDENTAL PETE | COM | 356K | 6K | – |
| OLD NATIONAL BANCORP IND | COM | 256K | 15K | – |
| OMNICOM GROUP INC. | COM | 2M | 27K | – |
| ONEOK INC NEW | COM | 1M | 17K | – |
| ORACLE CORP | COM | 16M | 114K | – |
| ORGANON AND CO | COM | 836K | 40K | – |
| PACIFIC BIOSCIENCES OF CALIFOR | COM | 106K | 78K | – |
| PARAMOUNT GLOBAL CLASS-B | COM | 305K | 29K | – |
| PARKER HANNIFIN CORP | COM | 8M | 15K | – |
| PENUMBRA, INC. | COM | 14M | 79K | – |
| PEPSICO INC | COM | 11M | 64K | – |
| PFIZER INC | COM | 3M | 120K | – |
| PHILIP MORRIS INTERNATIONAL | COM | 298K | 3K | – |
| PHILLIPS 66 | COM | 2M | 17K | – |
| PNC FINANCIAL SERVICES GROUP | COM | 4M | 29K | – |
| PRINCIPAL FINANCIAL GROUP INC | COM | 561K | 7K | – |
| PROCTER & GAMBLE CO | COM | 8M | 49K | – |
| PROGRESSIVE CORP-OHIO- | COM | 5M | 22K | – |
| PRUDENTIAL FINANCIAL, INC. | COM | 804K | 7K | – |
| PUBLIC SVC ENTERPRISE GROUP IN | COM | 258K | 3K | – |
| QUALCOMM INC | COM | 2M | 8K | – |
| RENAISSANCE RE HLDGS COM | COM | 224K | 1K | – |
| RTX CORPORATION | COM | 2M | 19K | – |
| S&P GLOBAL INC | COM | 501K | 1K | – |
| SALESFORCE.COM INC. | COM | 689K | 3K | – |
| SEAGATE TECHNOLOGY HOLDINGS | COM | 280K | 3K | – |
| SOUTHERN CO | COM | 6M | 76K | – |
| SS&C TECHNOLOGIES HOLDINGS INC | COM | 462K | 7K | – |
| STANLEY BLACK & DECKER INC | COM | 1M | 15K | – |
| STRYKER CORP | COM | 272K | 800 | – |
| SYSCO CORP | COM | 1M | 19K | – |
| TARGET CORP | COM | 8M | 53K | – |
| TESLA INC | COM | 216K | 1K | – |
| TEXAS INSTRUMENTS INC | COM | 1M | 7K | – |
| THE KRAFT HEINZ COMPANY | COM | 2M | 66K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 4M | 8K | – |
| THREE SIXTY SOLAR LTD | COM | 517 | 12K | – |
| TRAVELERS COMPANIES INC | COM | 7M | 37K | – |
| UBER TECHNOLOGIES INC | COM | 305K | 4K | – |
| ULTA BEAUTY INC | COM | 1M | 4K | – |
| UNITEDHEALTH GROUP INC | COM | 4M | 7K | – |
| UNUM GROUP | COM | 518K | 10K | – |
| US BANCORP DEL NEW | COM | 1M | 36K | – |
| VAXIL BIO LTD | COM | 160 | 20K | – |
| VERIZON COMMUNICATIONS | COM | 5M | 119K | – |
| VIPER ENERGY INC | COM | 351K | 9K | – |
| VISA INC COM CL A | COM | 5M | 20K | – |
| W P CAREY, INC | COM | 291K | 5K | – |
| WALMART INC | COM | 9M | 127K | – |
| WALT DISNEY CO | COM | 7M | 69K | – |
| WASTE MGMT INC | COM | 332K | 2K | – |
| WEC ENERGY GROUP INC | COM | 314K | 4K | – |
| WELLS FARGO & CO NEW | COM | 2M | 33K | – |
| XCEL ENERGY INC | COM | 323K | 6K | – |
| XYLEM INC | COM | 2M | 12K | – |
| YUM BRANDS INC | COM | 210K | 2K | – |
| AXA-SPONS ADR | ADR | 658K | 20K | – |
| CANADIAN NATL RAILWAY CO | ADR | 4M | 36K | – |
| NESTLE SA-SPONS ADR | ADR | 2M | 21K | – |
| NOVARTIS AG ADR | ADR | 4M | 41K | – |
| SHELL PLC | ADR | 327K | 5K | – |
| TAIWAN SEMICONDUCTOR MFG LTD-S | ADR | 2M | 11K | – |
| UNILEVER PLC NEW ADS 4 ORD | ADR | 222K | 4K | – |
| COHEN & STEERS QUAL INC RLTY F | FD | 146K | 13K | – |
| NUVEEN S&P 500 BUY-WRITE INC F | FD | 135K | 10K | – |
| BANYAN GOLD CORP. | FS | 2K | 10K | – |
| JERVOIS GLOBAL LTD | FS | 926 | 70K | – |
| AMEX HEALTHCARE SELECT SPDR | ETF | 314K | 2K | – |
| GLOBAL X FUNDS GLOBAL X ART IN | ETF | 641K | 18K | – |
| GRAYSCALE BITCOIN TRUST | ETF | 343K | 6K | – |
| I SHARES S&P GROWTH INDEX | ETF | 4M | 42K | – |
| INVESCO EXCHANGE TR FD DVD ACH | ETF | 256K | 6K | – |
| INVESCO QQQ NASDAQ 100 INDEX | ETF | 712K | 1K | – |
| INVESCO S&P 500 EQUAL WEIGHT | ETF | 2M | 10K | – |
| ISHARES CORE GROWTH ALLOCATION | ETF | 283K | 5K | – |
| ISHARES CORE S&P 500 INDEX | ETF | 4M | 7K | – |
| ISHARES CORE S&P MIDCAP | ETF | 694K | 12K | – |
| ISHARES DJ REGIONAL BANKS | ETF | 1M | 36K | – |
| ISHARES DJ US FINANCIAL SECTOR | ETF | 234K | 2K | – |
| ISHARES DJ US HOME CONSTRUCTIO | ETF | 225K | 2K | – |
| ISHARES DJ US TECHNOLOGY SECTO | ETF | 2M | 10K | – |
| ISHARES DOW JONES SELECT DIVID | ETF | 6M | 49K | – |
| ISHARES EXPANDED TECK-SOFTWARE | ETF | 389K | 4K | – |
| ISHARES MSCI EMERGING MARKETS | ETF | 832K | 20K | – |
| ISHARES MSCI USA ESG SELECT | ETF | 780K | 7K | – |
| ISHARES NASDAQ BIOTECH INDX | ETF | 385K | 3K | – |
| ISHARES RUSSELL 1000 GROWTH | ETF | 975K | 3K | – |
| ISHARES RUSSELL 1000 VALUE | ETF | 2M | 11K | – |
| ISHARES RUSSELL 2000 INDEX FUN | ETF | 7M | 35K | – |
| ISHARES RUSSELL MID-CAP INDEX | ETF | 6M | 69K | – |
| ISHARES S&P 100 INDEX | ETF | 8M | 29K | – |
| ISHARES S&P PREF STK INDX FN | ETF | 692K | 22K | – |
| ISHARES US OIL & GAS EXPLO & P | ETF | 2M | 25K | – |
| NUVEEN ESG LARGE-CAP VALUE | ETF | 206K | 5K | – |
| REAL ESTATE SELECT SECT SPDR | ETF | 760K | 20K | – |
| SCHWAB US BROAD MARKET ETF | ETF | 2M | 39K | – |
| SCHWAB US DIVIDEND EQUITY FUND | ETF | 425K | 5K | – |
| SCHWAB US LARGE-CAP ETR | ETF | 1M | 17K | – |
| SCHWAB US LARGE-CAP VALUE | ETF | 432K | 6K | – |
| SCHWAB US SMALL-CAP ETR | ETF | 409K | 9K | – |
| SPDR DOW JONES INDUSTRIAL AVER | ETF | 400K | 1K | – |
| SPDR FD FINANCIAL SEL | ETF | 295K | 7K | – |
| SPDR FD TECHNOLGY SEL | ETF | 833K | 4K | – |
| SPDR GOLD MINISHARES TRUST | ETF | 983K | 21K | – |
| SPDR GOLD TRUST | ETF | 918K | 4K | – |
| SPDR S&P 500 INDEX | ETF | 7M | 12K | – |
| SPDR S&P MIDCAP 400 ETF TR | ETF | 372K | 695 | – |
| VANGUARD DIVIDEND APPREC | ETF | 1M | 6K | – |
| VANGUARD FTSE ALL WORLD EX-U | ETF | 2M | 40K | – |
| VANGUARD FTSE EMR MKT ETF | ETF | 1M | 29K | – |
| VANGUARD GROWTH ETF | ETF | 864K | 2K | – |
| VANGUARD INDEX FDS LARGE CAP E | ETF | 313K | 1K | – |
| VANGUARD INDEX FDS SMALL CP ET | ETF | 370K | 2K | – |
| VANGUARD INDEX FDS VALUE ETF | ETF | 3M | 21K | – |
| VANGUARD S&P 500 | ETF | 273K | 546 | – |
| CAMDEN PROPERTY TRUST | COM | 500K | 5K | – |
| DIGITAL REALTY TRUST INC | COM | 1M | 7K | – |
| EASTGROUP PROPERTIES INC | COM | 680K | 4K | – |
| ELME COMMUNITIES | COM | 396K | 25K | – |
| HEALTHPEAK PROPERTIES INC | COM | 791K | 40K | – |
| LAMAR ADVERTISING COMPANY | COM | 552K | 5K | – |
| SIMON PPTY GROUP INC NEW | COM | 2M | 13K | – |
| VICI PROPERTIES INC | COM | 2M | 71K | – |
| WELLTOWER INC | COM | 5M | 50K | – |
| AMERICAN CENTY MUT FDS GROWTH | FD | 261K | 5K | – |
| FEDERATED KAUFMANN FUND | FD | 112K | 20K | – |
| FIDELITY 500 INDEX FUND | FD | 837K | 4K | – |
| FIDELITY ASSET MANAGER 60 | FD | 170K | 11K | – |
| FIDELITY CONTRAFUND COM | FD | 2M | 106K | – |
| FIDELITY EXTENDED MARKET INDEX | FD | 532K | 7K | – |
| FIDELITY GROWTH DISCOVERY FUND | FD | 243K | 4K | – |
| FIDELITY MAGELLAN | FD | 221K | 15K | – |
| FIDELITY SECS FD BLUE CHIP GWT | FD | 954K | 4K | – |
| FIDELITY SECS FD OTC PORTFOLIO | FD | 799K | 35K | – |
| FIDELITY STR DVD&INC FUND | FD | 174K | 10K | – |
| FIDELITY TOTAL MARKET INDEX FU | FD | 373K | 2K | – |
| JPMORGAN MID CAP VALUE FD-A | FD | 332K | 9K | – |
| PRUDENTIAL JENN EQTY OPPOR-Z | FD | 306K | 14K | – |
| ROWE PRICE NEW HORI FD COM | FD | 226K | 4K | – |
| ROWE T PRIC MID CP VAL COM | FD | 231K | 7K | – |
| SCHWAB S&P 500 FUND-SELECT | FD | 379K | 4K | – |
| SCHWAB SMALL-CAP INDEX | FD | 689K | 21K | – |
| VANGUARD INDEX FDS 500INDEX AD | FD | 2M | 4K | – |
| VANGUARD STAR FUND STAR PORTFO | FD | 1M | 37K | – |
| VIRTUS SGA INTERNATIONAL GROWT | FD | 159K | 18K | – |
| VONTOBEL US EQ INSTITUTIOANL F | FD | 305K | 17K | – |