Thomas Brock
Chairman at LIBERTY ALL-STAR GROWTH FUND, INC.
Network origin in Thomas Brock first degree
| Entity | Entity type | Industry | |
|---|---|---|---|
Columbia Business School
813
| College/University | Other Consumer Services | 813 |
Stone Harbor Investment Partners LLC
 Stone Harbor Investment Partners LLC Investment ManagersFinance Stone Harbor Investment Partners LLC (Stone Harbor) is a registered investment advisor headquartered in New York City. The firm was founded by Peter Wilby in 2006 and was acquired in 2022 by Virtus Partners, Inc., a subsidiary of Virtus Investment Partner, Inc. (NASDAQ: VRTS), from SHIP Capital Partners LP. Stone Harbor provides portfolio management services to a wide variety of US and non-US institutional accounts. In addition, the firm is the investment adviser or sub-adviser to various pooled investment vehicles including US registered investment companies (open-end and closed-end funds), collective investment trusts, private funds and registered offshore funds such as Irish UCITS and Irish qualifying investor funds.
40
| Extinct | Investment Managers | 40 |
| Extinct | Real Estate Investment Trusts | 21 | |
| Mutual Fd-Closed End | Investment Trusts/Mutual Funds | 21 | |
| Mutual Fd-Closed End | Investment Trusts/Mutual Funds | 20 | |
Liberty All Star Growth Fund, Inc.
12
| Extinct | Investment Trusts/Mutual Funds | 12 |
Grosvenor Registered Multi-Strategy Master Fund LLC
6
| Hedge Fund | Investment Trusts/Mutual Funds | 6 |
Elevation ETF Trust
5
| Umbrella Fund | 5 | |
EQ Advisors Trust
3
| Umbrella Fund | Investment Trusts/Mutual Funds | 3 |
1290 Funds
1
| Umbrella Fund | Investment Trusts/Mutual Funds | 1 |
Chart of Companies connected to the second degree
Multi-company connection
Companies connected to Thomas Brock via their personal network
| Company | Sector | Related people | Main position |
|---|---|---|---|
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. | Investment Managers | Director/Board Member President Director/Board Member Corporate Officer/Principal General Counsel Corporate Officer/Principal Compliance Officer Corporate Officer/Principal Comptroller/Controller/Auditor General Counsel Corporate Officer/Principal Comptroller/Controller/Auditor | |
| CLOUGH GLOBAL EQUITY FUND | Investment Trusts/Mutual Funds | Director/Board Member Chief Executive Officer Director/Board Member Corporate Secretary Corporate Officer/Principal Compliance Officer Compliance Officer Director of Finance/CFO Corporate Secretary | |
| CLOUGH GLOBAL DIVIDEND AND INCOME FUND | Investment Trusts/Mutual Funds | Director/Board Member President Director/Board Member Corporate Secretary Corporate Officer/Principal Compliance Officer Compliance Officer Director of Finance/CFO Corporate Officer/Principal | |
| CLOUGH GLOBAL OPPORTUNITIES FUND | Investment Trusts/Mutual Funds | Director/Board Member President Director/Board Member Corporate Secretary Corporate Officer/Principal Compliance Officer Compliance Officer Director of Finance/CFO Corporate Officer/Principal | |
| REAVES UTILITY INCOME FUND | Investment Trusts/Mutual Funds | President President Corporate Secretary Corporate Officer/Principal Compliance Officer Treasurer Chairman Corporate Secretary | |
| ALPS ETF Trust | Investment Trusts/Mutual Funds | Director/Board Member Compliance Officer Corporate Secretary Treasurer Compliance Officer Director/Board Member Compliance Officer | |
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 General Counsel Corporate Officer/Principal Corporate Officer/Principal | |
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 Compliance Officer Corporate Officer/Principal Chief Investment Officer Portfolio Manager-Equities | |
| Clough Funds Trust | Investment Trusts/Mutual Funds | Director/Board Member President Compliance Officer Treasurer Director/Board Member Corporate Secretary | |
| Financial Investors Trust | Investment Trusts/Mutual Funds | Director/Board Member Treasurer Treasurer Compliance Officer Director/Board Member Corporate Officer/Principal | |
| TWO HARBORS INVESTMENT CORP. | Real Estate Investment Trusts | Chairman Director/Board Member General Counsel Investor Relations Contact Director/Board Member Corporate Officer/Principal | |
| RIVERNORTH OPPORTUNITIES FUND, INC. | Investment Trusts/Mutual Funds | President Compliance Officer Director of Finance/CFO Corporate Officer/Principal Compliance Officer Treasurer | |
| ALPS Variable Investment Trust | Compliance Officer Compliance Officer Treasurer Corporate Officer/Principal Compliance Officer Treasurer | ||
Alps Distributors, Inc.
 Alps Distributors, Inc. Miscellaneous Commercial ServicesCommercial Services Part of SS&C Technologies Holdings, Inc., ALPS Distributors, Inc. provides distribution services. The company is based in Beachwood, NJ. | Miscellaneous Commercial Services | Director/Board Member President Director/Board Member Corporate Officer/Principal General Counsel | |
| University of Pennsylvania | College/University | Undergraduate Degree Graduate Degree Undergraduate Degree Undergraduate Degree Undergraduate Degree | |
| ALPS ETF TRUST - ALERIAN MLP ETF | Investment Trusts/Mutual Funds | Corporate Secretary Treasurer Compliance Officer Director/Board Member 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 | |
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 Chief Investment Officer Chief Investment Officer | |
| University of Michigan | College/University | Undergraduate Degree Undergraduate Degree Undergraduate Degree Undergraduate Degree | |
Stone Harbor Worldwide Corporate Income Fund
 Stone Harbor Worldwide Corporate Income Fund Investment Trusts/Mutual FundsMiscellaneous Stone Harbor Worldwide Corporate Income Fund is a non-diversified, closed-end management investment company. The fund's investment objectives are to provide maximize total return, which consists of income on its investments and capital appreciation. It invests in a portfolio of corporate debt obligations and other corporate-related income-producing investments, which include bonds, loans, debentures, notes, convertible securities, preferred shares, warrants, and commercial papers. The company was founded on January 21, 2011 and is headquartered in New York, NY. | Investment Trusts/Mutual Funds | Corporate Officer/Principal Corporate Officer/Principal Corporate Officer/Principal Corporate Officer/Principal | |
| The Trustees of Columbia University in The City of New York | College/University | Undergraduate Degree Undergraduate Degree Doctorate Degree Undergraduate Degree | |
| PRINCIPAL REAL ESTATE INCOME FUND | Investment Trusts/Mutual Funds | Compliance Officer Treasurer Compliance Officer Treasurer | |
Virtus Fixed Income Advisers LLC
 Virtus Fixed Income Advisers LLC Investment ManagersFinance Virtus Fixed Income Advisers LLC (VFIA) is a SEC-registered investment advisor headquartered in Hartford, Connecticut. The firm was founded in 1992 as Seix Investment Advisors LLC. They are a subsidiary of Virtus Partners, Inc., which is owned by Virtus Investment Partners, Inc. (NASDAQ: VRTS). VFIA provides discretionary investment supervisory services to high-net worth individuals and institutional clients. | Investment Managers | Portfolio Manager-Equities Portfolio Manager-Equities Portfolio Manager-Equities Economist | |
| GRANITE POINT MORTGAGE TRUST INC. | Real Estate Investment Trusts | Chairman Director/Board Member Director/Board Member | |
| FTAM Funds Distributor, Inc. | Director/Board Member Director/Board Member General Counsel | ||
| Grosvenor Registered Multi Strategy Fund Ti 2 LLC | Investment Trusts/Mutual Funds | Chief Executive Officer Director/Board Member Director/Board Member | |
| The Wharton School of the University of Pennsylvania | College/University | Undergraduate Degree Undergraduate Degree Corporate Officer/Principal | |
| The University of Chicago | College/University | Doctorate Degree Graduate Degree Masters Business Admin | |
Pine River Capital Management LP
 Pine River Capital Management LP Investment ManagersFinance Pine River Capital Management LP (Pine River) is a SEC-registered investment adviser and hedge fund management firm headquartered in Minnetonka, Minnesota. The firm was founded in 2002 by Brian Taylor and they are a subsidiary of Pine River Holdings LP. Pine River provides investment solutions to qualified clients through commingled hedge funds and bespoke solutions. | Investment Managers | Corporate Officer/Principal Corporate Officer/Principal Corporate Officer/Principal | |
| ALPS Series Trust | Investment Trusts/Mutual Funds | Chairman Treasurer Compliance Officer | |
| Dartmouth College | College/University | Undergraduate Degree Undergraduate Degree Undergraduate Degree | |
G.research LLC
 G.research LLC Investment Banks/BrokersFinance G.research (formerly known as Gabelli & Co., Inc.) is a registered institutional research and brokerage firm headquartered in Rye, New York and was founded in 1976. The firm is a subsidiary of Gabelli Securities, Inc. and their ultimate parent is GAMCO Investors, Inc. (NYSE: GBL). G.research has an emphasis on small and mid-cap ideas. Their core competencies include aerospace and defense, automotive aftermarket, food and beverage, gaming and lodging, industrials, media, specialty chemicals, telecom and utilities. They publish daily research notes and full reports utilizing their proprietary Private Market Value (PMV) with a Catalyst methodology. | Investment Banks/Brokers | Analyst-Equity Analyst-Equity Analyst-Equity | |
Columbia Funds
 Columbia Funds Investment Banks/BrokersFinance Columbia Funds provides investment banking services. The company is headquartered in Shrewsbury, MA. | Investment Banks/Brokers | Director/Board Member Compliance Officer Director/Board Member | |
Gabelli Funds LLC
 Gabelli Funds LLC Investment ManagersFinance Gabelli Funds LLC is a registered investment advisor headquartered in Rye, New York. The firm is a wholly-owned subsidiary of GAMCO Investors, Inc. (NYSE: GBL). Gabelli Funds provides discretionary investment advisory services primarily to open and closed-end investment companies. | Investment Managers | Analyst-Equity Portfolio Manager-Equities Analyst-Equity | |
| Princeton University | College/University | Undergraduate Degree Undergraduate Degree Undergraduate Degree | |
JPMorgan Securities LLC
 JPMorgan Securities LLC Investment Banks/BrokersFinance JPMorgan Securities LLC (JPMS) is a securities brokerage firm headquartered in New York City. The firm was founded in 1985 and is a subsidiary of JPMorgan Broker-Dealer Holdings, Inc., ultimately held by JPMorgan Chase & Co., Inc. (NYSE: JPM). JPMS provides research on fixed income, credit, derivatives, emerging markets, foreign exchange, structured finance, technical analysis and bond indices. Their equity analysts cover equities throughout North America, EMEA, Asia/Pacific and the emerging markets. The firm's fixed income team formulates trading and portfolio recommendations for investors in global bonds and other fixed-income markets based on valuations, analytics and market dynamics. | Investment Banks/Brokers | Analyst-Equity Analyst-Equity Analyst-Fixed Income | |
| Columbia Funds Series Trust I | Director/Board Member Director/Board Member | ||
Harvard University
 Harvard University Other Consumer ServicesConsumer Services Harvard University engages in the provision of teaching and research. It has twelve degree-granting Schools in addition to the Radcliffe Institute for Advanced Study, offering a global education. The university was founded in 1636 and is headquartered in Cambridge, MA. | College/University | Undergraduate Degree Undergraduate Degree | |
| University of Maryland | College/University | Chairman Undergraduate Degree | |
| University of St. Michael's College | College/University | President Undergraduate Degree | |
| VIRTUS STONE HARBOR EMERGING MARKETS INCOME FUND | Investment Trusts/Mutual Funds | Chief Executive Officer Corporate Officer/Principal | |
Council on Foreign Relations, Inc.
 Council on Foreign Relations, Inc. Investment Trusts/Mutual FundsMiscellaneous Council on Foreign Relations, Inc. provides and disseminates ideas on foreign policies to individuals, corporate members, journalists and policy makers. It operates a forum for government officials, students and other interested parties to study and discuss world issues and impact on American foreign policies. The company publishes Foreign Affairs, a magazine that comes out six times a year, along with books and studies by its own scholars. Council on Foreign Relations was founded in 1921 and is headquartered in New York City, NY. | Investment Trusts/Mutual Funds | Director/Board Member Director/Board Member | |
The Atlantic Council of the United States
 The Atlantic Council of the United States Miscellaneous Commercial ServicesCommercial Services The Atlantic Council of the United States engages in the promotion of constructive leadership and engagement in international affairs. The company is headquartered in Washington, DC. | Miscellaneous Commercial Services | Director/Board Member Director/Board Member | |
52nd Street Capital Advisors LLC
 52nd Street Capital Advisors LLC Investment ManagersFinance 52nd Street Capital Advisors LLC (52nd Street Capital) is a private equity subsidiary of BlackrRock, Inc. founded in 2005 by James R Maher and Michael B Lazar. The firm is headquartered in New York. | Investment Managers | Director/Board Member Corporate Officer/Principal | |
Credit Suisse Securities (USA) LLC (Broker)
 Credit Suisse Securities (USA) LLC (Broker) Investment Banks/BrokersFinance Credit Suisse Securities (USA) LLC (Credit Suisse Securities USA) is the broker/dealer division of Credit Suisse Securities (USA) LLC, an investment banking company headquartered in New York City. The firm was founded in 1998 and is a wholly owned subsidiary of Credit Suisse (USA), Inc., ultimately owned by Credit Suisse Group AG (SWX: CSGN) in Switzerland. Credit Suisse Securities USA offers a suite of equities, solutions and credit products and services which includes global securities sales, trading and execution, prime brokerage and comprehensive investment research. Their clients include financial institutions, corporations, governments, institutional investors, such as pension funds and hedge funds, and private individuals around the world. | Investment Banks/Brokers | Corporate Officer/Principal Corporate Officer/Principal | |
| BLACKROCK CAPITAL INVESTMENT CORPORATION | Investment Managers | Director/Board Member Director/Board Member | |
| ALPS ETF TRUST - ALPS REIT DIVIDEND DOGS ETF | Investment Trusts/Mutual Funds | Treasurer Director/Board Member |
Statistics
International
| United States | 50 |
| Canada | 2 |
Sectoral
| Miscellaneous | 19 |
| Finance | 18 |
| Consumer Services | 11 |
| Commercial Services | 3 |
Operational
| Director/Board Member | 313 |
| Corporate Officer/Principal | 213 |
| Undergraduate Degree | 74 |
| Independent Dir/Board Member | 72 |
| Compliance Officer | 67 |
Most connected contacts
| Insiders | |
|---|---|
| Eli Casdin | 48 |
| William E. Mayer | 39 |
| Stephen Kasnet | 38 |
| Henry Bienen | 34 |
| Daryl J. Carter | 34 |
| Melanie H. Zimdars | 33 |
| Jeremy May | 28 |
| William Sanders | 27 |
| Ned Burke | 24 |
| Sareena Khwaja-Dixon | 21 |
| Kimberly R. Storms | 21 |
| Jeremy Wyatt Deems | 19 |
| Gabriel Kra | 18 |
| Brian Model | 17 |
| James Craige | 16 |
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