John Joseph Lee

SWBC Investment Co. (SWBC) is a SEC-registered investment advisor headquartered in San Antonio, Texas. They are primarily owned by Southwest Business Corp. The firm provides investment advisory services to individuals, high net worth individuals, banking or thrift institutions, charitable organizations and corporations or other businesses. SWBC also provides discretionary investment management services to registered mutual funds and private pooled investment vehicles.

Advisors Asset Management, Inc. (AAM) is a SEC-registered investment advisor headquartered in Monument, Colorado. The firm was founded in 1979 as Fixed Income Securities LP. In 2023, Sun Life Capital Management (US) LLC, a subsidiary of Sun Life Financial, Inc. (TSE: SLF) in Canada, acquired a 51 percent majority stake in the firm. AAM provides portfolio supervisory and evaluation services to AAM-sponsored unit investment trusts (UITs). They also offer separately managed account (SMA) advisory services to individuals, banking or thrift institutions, trusts, estates, broker-dealers, investment advisers, investment companies, corporations, pension or profit-sharing plans and charitable organizations.

Founded in 2006, SMC Fixed Income Management LLC is a registered investment advisor located in West Windsor, New Jersey. The firm is a subsidiary of Spring Mountain Capital LP. They provide investment management services to mutual funds and managed accounts for high net-worth individuals.

Part of BlackRock, Inc., Merrill Lynch Investment Managers LP is a private company that provides investment advisory services. The company is based in Plainsboro, NJ.

Far Hills Group LLC is a leading placement agent that has been building successful funds for over 25 years. The private company is based in Far Hills, NJ, with an international clientele that is geographically diverse and includes investors from Europe, Asia, the Middle East, and the Americas. The American company's strength lies in the experience of the firm's partners and their longstanding relationships in the institutional investment community. The company offers a hands-on, collaborative approach tailored to each manager's strategy and strive to effectively differentiate the fund and efficiently leverage the manager's marketing commitment.

Rodman & Renshaw, Inc. provides securities brokerage services. The private company is based in Chicago, IL. The company was founded by John Ferrara.