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 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 | |
| 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 | |
| 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 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 | |
| RIVERNORTH OPPORTUNITIES FUND, INC. | Investment Trusts/Mutual Funds | President Compliance Officer Director of Finance/CFO Corporate Officer/Principal Compliance Officer Treasurer | |
| TWO HARBORS INVESTMENT CORP. | Real Estate Investment Trusts | Chairman Director/Board Member General Counsel Investor Relations Contact Director/Board Member Corporate Officer/Principal | |
| 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 | |
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 Variable Investment Trust | Compliance Officer Compliance Officer Treasurer Corporate Officer/Principal Compliance Officer Treasurer | ||
| ALPS ETF TRUST - ALERIAN MLP ETF | Investment Trusts/Mutual Funds | Corporate Secretary Treasurer Compliance Officer Director/Board Member Corporate Officer/Principal | |
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 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 | |
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 | |
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 | |
| The Trustees of Columbia University in The City of New York | College/University | Undergraduate Degree Undergraduate Degree Doctorate 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 | |
| University of Michigan | College/University | Undergraduate Degree Undergraduate Degree Undergraduate Degree Undergraduate Degree | |
| PRINCIPAL REAL ESTATE INCOME FUND | Investment Trusts/Mutual Funds | Compliance Officer Treasurer Compliance Officer Treasurer | |
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 | |
| FTAM Funds Distributor, Inc. | Director/Board Member Director/Board Member General Counsel | ||
| Princeton University | College/University | Undergraduate Degree Undergraduate Degree Undergraduate Degree | |
| The University of Chicago | College/University | Doctorate Degree Graduate Degree Masters Business Admin | |
| The Wharton School of the University of Pennsylvania | College/University | Undergraduate Degree Undergraduate Degree Corporate Officer/Principal | |
JPMorgan Securities LLC
 JPMorgan Securities LLC Investment ManagersFinance 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 Managers | Analyst-Equity Analyst-Equity Analyst-Fixed Income | |
| Grosvenor Registered Multi Strategy Fund Ti 2 LLC | Investment Trusts/Mutual Funds | Chief Executive Officer Director/Board Member Director/Board Member | |
| GRANITE POINT MORTGAGE TRUST INC. | Real Estate Investment Trusts | Chairman Director/Board Member Director/Board Member | |
| 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 | |
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 | |
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 | |
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 | Director/Board Member Masters Business Admin | |
University of Minnesota
 University of Minnesota Other Consumer ServicesConsumer Services Digi-Key Corp. distributes electronic components. It also distributes semiconductors, discrete, electromechanical parts. Its products include audio products, batteries, cable assemblies, capacitors, computer & video accessories, connectors, crystals & oscillators, discrete semiconductor products and many more. The company was founded by Ronald A. Stordahl in 1972 and is headquartered in Thief River Falls, MN. | College/University | Graduate Degree Undergraduate Degree | |
Credit Suisse Asset Management LLC
 Credit Suisse Asset Management LLC Investment ManagersFinance Founded in 1999, Credit Suisse Asset Management LLC (CSAM) is a registered investment advisor headquartered in New York City. The firm is an indirect wholly-owned subsidiary of Credit Suisse Group AG (NYSE: CS), a publicly owned foreign bank holding company based in Switzerland. | Investment Managers | Corporate Officer/Principal Chief Executive Officer | |
PGIM, Inc.
 PGIM, Inc. Investment ManagersFinance PGIM, Inc. is a SEC-registered investment advisor headquartered in Newark, New Jersey. The firm was founded in 1984 and is a direct subsidiary of PGIM Holding Co. LLC, ultimately owned by Prudential Financial, Inc. (NYSE: PRU). PGIM provides institutional clients with investment solutions worldwide. It is comprised of autonomous asset management businesses each specializing in a particular asset class with a focused investment approach: PGIM Institutional Advisory & Solutions (provides advisory services to institutional clients located in the US and outside of the US), PGIM Fixed Income (an adviser primarily focused on public fixed income investments), PGIM Real Estate (a provider of real estate investment advisory services) and PGIM Capital Group (a private fixed income investment adviser, also known as Prudential Capital Group). | Investment Managers | Corporate Officer/Principal Corporate Officer/Principal | |
| Massachusetts Institute of Technology | College/University | Graduate Degree Undergraduate Degree | |
| New York University | College/University | Undergraduate Degree Undergraduate Degree | |
TCW Asset Management Co. LLC
 TCW Asset Management Co. LLC Investment ManagersFinance TCW Asset Management Co. LLC (TCW) is a SEC-registered investment advisor headquartered in Los Angeles, California. The firm was founded in 1992 and is wholly-owned by The TCW Group, Inc. In 2013, TCW management and private investment funds affiliated with The Carlyle Group (NASDAQ: CG) acquired TCW Group from Société Générale. TCW provides investment management and advice for a wide array of investment strategies for institutional and individual investors through investment advisory accounts, private open- and closed-end commingled investment funds and structured investment vehicles such as collateralized debt obligations. | Investment Managers | Analyst-Fixed Income Analyst-Fixed Income |
Statistics
International
| United States | 51 |
Sectoral
| Finance | 22 |
| Miscellaneous | 17 |
| Consumer Services | 11 |
| Commercial Services | 2 |
Operational
| Director/Board Member | 314 |
| Corporate Officer/Principal | 213 |
| Undergraduate Degree | 75 |
| Independent Dir/Board Member | 73 |
| Compliance Officer | 67 |
Most connected contacts
| Insiders | |
|---|---|
| Eli Casdin | 48 |
| William E. Mayer | 39 |
| Stephen Kasnet | 38 |
| Daryl J. Carter | 35 |
| Henry Bienen | 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 |
- Stock Market
- Insiders
- Thomas Brock
- Company connections
