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1st Global Advisors Holds an All-iShares Top 5 Worth $212.3M - cbl
Posted July 18, 2011
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Stephen Batman
By Bill Murphy
DALLAS -- 1st Global Advisors Inc.'s top five public equity holdings -- all of them in iShares exchange-traded funds -- were worth $212.32 million at the end of June.
The Dallas-based privately held money manager, founded in 1992, disclosed in an SEC filing a total of 375 holdings worth $438.23 million at the end of the second quarter, compared with 373 holdings worth $427.67 million at the end of the previous quarter.
1st Global's top five stocks at the end of the second quarter were:
• iShares S&P 500 Index fund (NYSE: IVV), $65.98 million;
• iShares Barclay U.S. Aggregate Bond Fund (NYSE: AGG), $55.16 million;
• iShares MSCI EAFE (NYSE: EFV), $36.27 million;
• iShares Russell 2000 Index Fund (NYSE: IWM), $29.48 million; and
• iShares Trust Cohen & Steers Realty Majors Index Fund (NYSE: ICF), $25.43 million.
1st Global is led by founder, Chairman and CEO , a certified public accountant, chartered financial analyst and certified financial planner.
Michael Pagano, chief compliance officer and vice president, was named the reporting person.
Form 13F-HR filing: http://tinyurl.com/3bbw6rf
Also at citybizlist, see:
1st Global Advisors' Top 5 Equity Holdings Jump to $180.2M - cbl
1st Global Appoints Dr. Art Laffer as Economic Advisor
1st Global Advisors' Top 5 Stocks Worth $140M - cbl
1st Global Advisors' Top 5 Holdings in June Worth $118.2M - cbl
Bios from 1st Global's website:
Stephen A. "Tony" Batman, CPA, CFA, CFP
Chief Executive Officer
Tony Batman is a visionary entrepreneur whose accomplishments have profoundly impacted the accounting and financial services professions. The AICPA has identified Tony as a "trail blazer" for his vision and entrepreneurial spirit concerning the future of the accounting profession. For 14 years in a row-1996 through 2010-he was voted as one of the most influential accountants in America by Accounting Today magazine. In 2005 and 2006, he was also named by Investment Advisor magazine as one of the most influential people in the financial services industry. A true leader in the industry, Tony has established a successful financial services business development and resource partner to leading wealth management firms and is a frequent speaker to professional groups on a variety of financial services topics.
Tony is chairman, chief executive officer and co-founder of 1st Global, a diversified financial services firm that is the business development and resource partner to leading tax, accounting and law firms. 1st Global works with these firms to provide comprehensive wealth management services to emerging affluent and affluent families, businesses, foundations and other institutions. Through 1st Global, he has created innovative educational programs, advanced support services and cutting-edge technology tools that cater to the wealth management advisor.
Tony is a Certified Public Accountant, Chartered Financial Analyst and CERTIFIED FINANCIAL PLANNERTM. His professional memberships include the American Institute of Certified Public Accountants, the Texas Society of CPAs, the Institute of Certified Financial Planners, the Financial Planning Association, the Investment Management Consultants Association and the CFA Institute. For 2004 and 2005, Tony served as chairman of the Financial Services Institute. The Financial Services Institute is a membership association of broker/dealers and Registered Investment Adviser firms that serve registered representatives who are independent contractors. The FSI works for the success of its members through regulatory advocacy, conferences and education, peer networking and research. For 2006, Tony served on the board of directors of the FSI and served as chairman of its political action committee.
Tony is a graduate of the University of Kansas and serves on the board of advisors to both its School of Business and its Accounting and Information Systems program. He is also an instrument-rated private pilot. Tony and his wife Vicki were married in 1982 and reside in Dallas, Texas.
Michael Pagano, JD, CRCP
Executive Vice President, Chief Compliance Officer
Michael Pagano serves as executive vice president and chief compliance officer at 1st Global. As such, Michael works with the company and its affiliated financial advisors to provide regulatory compliance oversight, strategies and management. Included in his responsibilities is the supervision of both the licensing and compliance departments' staff, performing due diligence, handling regulatory audits and maintaining overall corporate quality assurance.
A lawyer and Certified Regulatory and Compliance Professional, Michael has extensive experience in FINRA, SEC and insurance industry regulation. He has worked inside three national financial services entities, ranging in size from 325 representatives to 2100 representatives, catering to financial planners and insurance professionals. Prior to joining 1st Global, Michael worked for a prominent financial services broker/dealer where he served as chief compliance officer, promoting and enforcing compliance for field and home office business practices.
Michael received his Juris Doctor from The University of Miami School of Law. He also holds a Bachelor of Science degree in Business Administration and Marketing from the University of Connecticut. In addition, Michael is a registered representative and has passed the FINRA Series 4, 7, 24, 53, 63 and 65 examinations.
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