Theodore J. Uhl
Compliance Officer at XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TRUST
Network origin in Theodore J. Uhl first degree
| Entity | Entity type | Industry | |
|---|---|---|---|
ALPS Fund Services, Inc.
 ALPS Fund Services, Inc. Investment ManagersFinance ALPS Fund Services, Inc. provides asset servicing and asset management solutions to the investment management industry. The firm’s services include compliance, fund accounting, tax administration, audit process, and portfolio solutions. The company was founded by W. Robert Alexander and Art Lucey in June 1985 and is headquartered in Denver, CO.
25
| Subsidiary | Investment Managers | 25 |
| Mutual Fd-Closed End | Investment Trusts/Mutual Funds | 8 | |
Financial Investors Trust
8
| Umbrella Fund | Investment Trusts/Mutual Funds | 8 |
Axonic Alternative Income Fund
 Axonic Alternative Income Fund Investment Trusts/Mutual FundsMiscellaneous Axonic Alternative Income Fund is a non-diversified, closed-end management investment company. It was founded on September 26, 2018 and is headquartered in New York, NY.
6
| Mutual Fd-Closed End | Investment Trusts/Mutual Funds | 6 |
Elevation ETF Trust
5
| Umbrella Fund | 5 | |
RSM McGladrey, Inc.
 RSM McGladrey, Inc. Miscellaneous Commercial ServicesCommercial Services RSM McGladrey, Inc. provides financial services. It offers audit, tax, consulting, financial advisory, risk advisory, technology and management, transaction advisory, wealth management. The company was founded by George Hansen and Keith Dunn in 1926 and is headquartered in Minneapolis, MN.
5
| Extinct | Miscellaneous Commercial Services | 5 |
| Mutual Fd-Closed End | Investment Trusts/Mutual Funds | 4 | |
Index Funds
1
| Mutual Fd-Open End | Investment Trusts/Mutual Funds | 1 |
Chart of Companies connected to the second degree
Multi-company connection
Companies connected to Theodore J. Uhl via their personal network
| Company | Sector | Related people | Main position |
|---|---|---|---|
Adelphia Communications Corp.
 Adelphia Communications Corp. Cable/Satellite TVConsumer Services Adelphia Communications Corp. provides telecommunication services. The company offers digital TV services over its upgraded cable systems to 1.8 million subscribers and broadband Internet access to another 1 million. The company was established in 1952 and is headquartered in Greenwood Village, CO. | Cable/Satellite TV | General Counsel | |
| LIBERTY ALL-STAR EQUITY FUND | Investment Trusts/Mutual Funds | Director/Board Member Director of Finance/CFO Director/Board Member Corporate Officer/Principal Compliance Officer Treasurer Chairman Corporate Secretary Treasurer | |
| The Caldwell & Orkin Funds, Inc. | Investment Trusts/Mutual Funds | Compliance Officer Compliance Officer Corporate Secretary | |
| MORGAN STANLEY | Investment Managers | Corporate Officer/Principal Corporate Officer/Principal | |
| WesMark Funds | Investment Trusts/Mutual Funds | Corporate Officer/Principal Corporate Officer/Principal | |
Ernst & Young LLP
 Ernst & Young LLP Miscellaneous Commercial ServicesCommercial Services Ernst & Young LLP engages in the provision of accounting, assurance, tax, transaction, and advisory services. It specializes in the actuarial, analytics and big data, cyber security, accounting compliance and reporting, center for board matters, international financial reporting standards, country tax advisory, global trade, tax accounting, and climate change and sustainability. The company was founded in 1989 and is headquartered in New York, NY. | Miscellaneous Commercial Services | Corporate Officer/Principal Corporate Officer/Principal | |
| CLOUGH GLOBAL OPPORTUNITIES FUND | Investment Trusts/Mutual Funds | Director/Board Member President Director/Board Member Director/Board Member Corporate Officer/Principal Compliance Officer Corporate Officer/Principal Compliance Officer Compliance Officer Director/Board Member Director of Finance/CFO Corporate Secretary Corporate Officer/Principal Corporate Secretary Director/Board Member Corporate Secretary Director of Finance/CFO Corporate Secretary | |
| CLOUGH GLOBAL DIVIDEND AND INCOME FUND | Investment Trusts/Mutual Funds | Director/Board Member President Director/Board Member Director/Board Member Corporate Officer/Principal Compliance Officer Chief Executive Officer Compliance Officer Director/Board Member Director of Finance/CFO Corporate Secretary Corporate Officer/Principal Corporate Secretary Director/Board Member Corporate Secretary Director of Finance/CFO Corporate Secretary | |
| Clough Funds Trust | Investment Trusts/Mutual Funds | Director/Board Member President Compliance Officer President Compliance Officer Treasurer Director/Board Member Corporate Secretary Corporate Secretary Director/Board Member Treasurer Corporate Secretary | |
| REAVES UTILITY INCOME FUND | Investment Trusts/Mutual Funds | President President Director/Board Member Corporate Officer/Principal Compliance Officer Treasurer Chairman Director/Board Member Corporate Secretary Corporate Secretary Corporate Secretary | |
| ALPS ETF Trust | Investment Trusts/Mutual Funds | Director/Board Member Director/Board Member Treasurer Compliance Officer Director/Board Member Corporate Secretary Corporate Secretary Treasurer Corporate Secretary | |
| ALPS Variable Investment Trust | Director/Board Member Compliance Officer Treasurer Corporate Secretary Corporate Officer/Principal President Treasurer Corporate Secretary | ||
| PRINCIPAL REAL ESTATE INCOME FUND | Investment Trusts/Mutual Funds | Director/Board Member Compliance Officer Treasurer Corporate Secretary President Treasurer Corporate Secretary Corporate Secretary | |
| LIBERTY ALL-STAR GROWTH FUND, INC. | Investment Trusts/Mutual Funds | Director/Board Member Director/Board Member Director of Finance/CFO Compliance Officer Treasurer Chairman Corporate Secretary Treasurer | |
| RIVERNORTH OPPORTUNITIES FUND, INC. | Investment Trusts/Mutual Funds | President Director of Finance/CFO Corporate Secretary Corporate Officer/Principal Corporate Secretary President Treasurer | |
| SRH TOTAL RETURN FUND, INC. | Investment Trusts/Mutual Funds | Chairman Compliance Officer Compliance Officer Treasurer Compliance Officer Treasurer | |
| ALPS Series Trust | Investment Trusts/Mutual Funds | Chairman Treasurer Compliance Officer Compliance Officer Corporate Officer/Principal Corporate Secretary | |
ALPS Holdings, Inc.
 ALPS Holdings, Inc. Investment ManagersFinance ALPS Holdings, Inc. operates as a holding company which through its business units provides investment products and servicing solutions to the financial services industry. The firm's business units include ALPS Advisors, ALPS Fund Services and ALPS Distributors. It delivers asset management and asset servicing solutions through offices in Boston, Golden, New York, Seattle and Toronto. The company was founded in June 1985 and is headquartered in Denver, CO. | Investment Managers | Chief Executive Officer Director/Board Member Chief Executive Officer Corporate Officer/Principal Corporate Officer/Principal | |
ALPS Portfolio Solutions Distributor, Inc.
 ALPS Portfolio Solutions Distributor, Inc. Investment Banks/BrokersFinance Alps Portfolio Solutions Distributor Inc. operates as a brokerage firm. It engages in buying and selling of securities such as stocks, bonds, and mutual funds. The company is headquartered in Denver, CO. | Investment Banks/Brokers | Director/Board Member President Director/Board Member Corporate Officer/Principal Corporate Officer/Principal | |
| ALPS ETF TRUST - ALERIAN MLP ETF | Investment Trusts/Mutual Funds | Director/Board Member Treasurer Compliance Officer Director/Board Member | |
ALPS Advisors, Inc.
 ALPS Advisors, Inc. Investment ManagersFinance ALPS Advisers, Inc. (AAI) is a SEC-registered investment advisor headquartered in Denver, Colorado. The firm was founded in 2006 and is a subsidiary of ALPS Holdings, Inc., ultimately held by SS&C Technologies Holdings, Inc. (NASDAQ: SSNC). AAI provides discretionary investment management services exclusively to registered investment companies. | Investment Managers | Chief Executive Officer Director/Board Member Corporate Officer/Principal General Counsel | |
Alps Distributors, Inc.
 Alps Distributors, Inc. Miscellaneous Commercial ServicesCommercial Services Part of SS&C Technologies Holdings, Inc., ALPS Distributors, Inc. provides distribution services. The private company is based in Beachwood, NJ. | Miscellaneous Commercial Services | Director/Board Member President Director/Board Member Corporate Officer/Principal | |
XA Investments LLC
 XA Investments LLC Investment ManagersFinance Part of Xms Holdings LLC, XA Investments LLC is a Chicago-based investment manager that provides investment advisory services, investment fund structuring, and consulting services to meet institutional client needs. XA Investments believes that the investing public can benefit from new vehicles to access a broad range of alternative investment strategies and managers. The CEOs of the American company are Theodore J. Brombach and John Spence. The private company was founded in April 2016 and offers custom product build and consulting services, including development and market research, sales, marketing, fund management, and administration. | Investment Managers | Chief Executive Officer Chief Executive Officer Corporate Officer/Principal | |
Northwestern University
 Northwestern University Other Consumer ServicesConsumer Services Northwestern University is a private institution founded in 1851 to serve the Northwest Territory, an area that now includes the states of Ohio, Indiana, Illinois, Michigan, Wisconsin and parts of Minnesota. Northwestern has three campuses | College/University | Masters Business Admin Graduate Degree Masters Business Admin | |
| Kellogg School of Management | College/University | Masters Business Admin Masters Business Admin Masters Business Admin | |
| Rivernorth Funds | Investment Trusts/Mutual Funds | Corporate Officer/Principal Corporate Officer/Principal Corporate Officer/Principal | |
| VIRTUS STONE HARBOR EMERGING MARKETS INCOME FUND | Investment Trusts/Mutual Funds | Corporate Officer/Principal Chairman Corporate Officer/Principal | |
| ALPS ETF TRUST - ALPS REIT DIVIDEND DOGS ETF | Investment Trusts/Mutual Funds | Director/Board Member Treasurer Director/Board Member | |
| Paralel Technologies LLC | Chief Executive Officer Corporate Officer/Principal Compliance Officer | ||
| RIVERNORTH OPPORTUNISTIC MUNICIPAL INCOME FUND, INC. | Financial Conglomerates | Corporate Officer/Principal Corporate Officer/Principal | |
| RIVERNORTH MANAGED DURATION MUNICIPAL INCOME FUND INC. | Investment Trusts/Mutual Funds | Corporate Officer/Principal Corporate Officer/Principal | |
A.V. Hunter Trust, Inc.
 A.V. Hunter Trust, Inc. Investment Trusts/Mutual FundsMiscellaneous A.V. Hunter Trust, Inc. operates as a non-profit organization. It provides funds services for disabled, indigent, seniors, and youth. The company was founded in 1924 and is headquartered in Glendale, CO. | Investment Trusts/Mutual Funds | Director/Board Member President | |
| The University of Colorado | College/University | Undergraduate Degree Director/Board Member | |
XMS Capital Partners LLC
 XMS Capital Partners LLC Investment ManagersFinance XMS Capital Partners LLC engages in the provision of financial advisory services. It offers mergers and acquisitions, divestitures, private placements, initial public offering, and debt restructuring advisory services. The company was founded by John Spence and Theodore Brombach in 2006 and is headquartered in Chicago, IL. | Investment Managers | Founder Founder | |
Harvest Volatility Edge Trust
 Harvest Volatility Edge Trust Investment Trusts/Mutual FundsMiscellaneous Harvest Volatility Edge Trust engages in the provision and investment in fund management. The company was founded on August 28, 2017 and is headquartered in New York, NY. | Investment Trusts/Mutual Funds | Director/Board Member Chairman | |
| University of Notre Dame | College/University | Undergraduate Degree Undergraduate Degree | |
Vedder Price PC
 Vedder Price PC Miscellaneous Commercial ServicesCommercial Services Vedder Price PC provides legal services. Its areas of practice include antitrust, construction, gaming, government, mergers and acquisitions. The company was founded in 1952 and is headquartered in Chicago, IL. | Miscellaneous Commercial Services | Corporate Officer/Principal Corporate Officer/Principal | |
| FTAM Funds Distributor, Inc. | Director/Board Member Director/Board Member | ||
Rocky Mountain Advisers LLC
 Rocky Mountain Advisers LLC Investment ManagersFinance Rocky Mountain Advisers LLC (RMA) is an independent, SEC-registered investment advisor headquartered in Salina, Kansas. The firm was founded by Stewart R. Horejsi in 2008. RMA provides advisory or sub-advisory services to individuals, high net-worth individuals, investment companies (including mutual funds), pension and profit-sharing plans (other than plan participants), pooled investment vehicles, charitable organizations, and corporations or other businesses. | Investment Managers | President Compliance Officer | |
Goldman Sachs & Co. LLC
 Goldman Sachs & Co. LLC Financial ConglomeratesFinance Goldman Sachs & Co. LLC (GS&Co.) is a securities brokerage firm headquartered in New York City. Founded in 1927, the firm is a subsidiary of The Goldman Sachs Group, Inc. (NYSE: GS). GS&Co. provides services to help hedge funds manage risk, monitor portfolios, maintain liquidity and build their businesses. They offer clients access to global equity and derivatives markets, as well as foreign exchange, commodities, European Lefts, rates and credit across the Americas, Europe and Asia. The firm proactively monitors capital markets, searching for pockets of liquidity and news that may require changes to those strategies. Integration with the Goldman Sachs network gives clients access to the firm's sectored block trades and their insights into price discovery. Their electronic trading program provides clients with tools to manage their trades from pre-trade analytics to post-trade analysis. | Financial Conglomerates | Corporate Officer/Principal Corporate Officer/Principal | |
ALPS Funds Services, Inc.
 ALPS Funds Services, Inc. Investment Trusts/Mutual FundsMiscellaneous ALPS Funds Services, Inc. provides back office services for open and closed-end, and hedge funds. The firm provides administration, compliance, fund accounting, legal, marketing, tax administration, transfer agency, and shareholders services. The company was founded by W. Robert Alexander in 1985 and is headquartered in Denver, CO. | Investment Trusts/Mutual Funds | President Corporate Officer/Principal | |
| Index Asset Management, Inc | Director/Board Member |
Statistics
International
| United States | 50 |
Sectoral
| Miscellaneous | 27 |
| Finance | 11 |
| Consumer Services | 6 |
| Commercial Services | 4 |
| Health Technology | 2 |
Operational
| Director/Board Member | 163 |
| Corporate Officer/Principal | 160 |
| Compliance Officer | 72 |
| Treasurer | 54 |
| Independent Dir/Board Member | 51 |
Most connected contacts
| Insiders | |
|---|---|
| Melanie H. Zimdars | 33 |
| Jeremy May | 28 |
| Ned Burke | 24 |
| Lance Baller | 23 |
| Jeff Gary | 23 |
| Richard M. Goldman | 23 |
| Sareena Khwaja-Dixon | 21 |
| Kimberly R. Storms | 21 |
| Jeremy Wyatt Deems | 19 |
| Christopher Moore | 19 |
| Thomas Brock | 17 |
| Lucas D. Foss | 17 |
| Tim Hoerr | 16 |
| Joel Walter Looney | 16 |
| Jill Kerschen | 16 |
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