| Name | Title | City, State | Date |
|---|---|---|---|
| Nicole Davis | Advisory Compliance Manager | Houston, Texas | 17 Oct 2017 |
| Name | Holdings Value | Location | File Number |
|---|---|---|---|
| Visionary Asset Management, Inc. | $252,315,000 | Houston, TX | 028-14671 |
| NEXT Financial Group, Inc | Houston, TX | 028-16263 |