John Oakes
Director/Board Member at RiverNorth SPAC Focus Fund, Inc.
Network origin in John Oakes first degree
| Entity | Entity type | Industry | |
|---|---|---|---|
| Mutual Fd-Closed End | Investment Trusts/Mutual Funds | 17 | |
| Mutual Fd-Closed End | Investment Trusts/Mutual Funds | 10 | |
| Mutual Fd-Closed End | Investment Trusts/Mutual Funds | 10 | |
Securities America, Inc.
 Securities America, Inc. Investment Banks/BrokersFinance Securities America, Inc. engages in the provision of securities broking and dealing services. It focuses on helping advisors create an effective, profitable, and satisfying practice by providing financial counsel, product offerings, and service to clients. The company was founded in 1984 and is headquartered in La Vista, NE.
8
| Subsidiary | Investment Banks/Brokers | 8 |
| Mutual Fd-Closed End | Financial Conglomerates | 8 | |
RiverNorth SPAC Focus Fund, Inc.
 RiverNorth SPAC Focus Fund, Inc. Investment Trusts/Mutual FundsMiscellaneous RiverNorth SPAC Focus Fund, Inc. operates as a closed-end investment fund or Investment trust. The company is headquartered in Chicago, IL.
7
| Mutual Fd-Closed End | Investment Trusts/Mutual Funds | 7 |
| Mutual Fd-Closed End | Investment Trusts/Mutual Funds | 6 | |
| Mutual Fd-Closed End | Investment Trusts/Mutual Funds | 6 | |
| Mutual Fd-Closed End | Investment Trusts/Mutual Funds | 6 | |
Rivernorth Funds
6
| Mutual Fd-Open End | Investment Trusts/Mutual Funds | 6 |
| Mutual Fd-Closed End | Investment Trusts/Mutual Funds | 5 | |
Transamerica Funds
1
| Umbrella Fund | Investment Trusts/Mutual Funds | 1 |
Chart of Companies connected to the second degree
Multi-company connection
Companies connected to John Oakes via their personal network
| Company | Sector | Related people | Main position |
|---|---|---|---|
| LIBERTY ALL-STAR EQUITY FUND | Investment Trusts/Mutual Funds | Director of Finance/CFO Compliance Officer Treasurer Corporate Secretary Compliance Officer Treasurer | |
| Financial Investors Trust | Investment Trusts/Mutual Funds | Treasurer Corporate Officer/Principal | |
| ALPS Variable Investment Trust | Compliance Officer Director/Board Member Treasurer Treasurer Director/Board Member Corporate Officer/Principal President Compliance Officer Treasurer | ||
First Trust Portfolios
 First Trust Portfolios Investment Banks/BrokersFinance Part of AJM Ventures LLC, First Trust Portfolios is a Canadian company that develops financial products which it markets through brokerage firms. The private company is based in Toronto, Canada. | Investment Banks/Brokers | 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 private company is based in Beachwood, NJ. | Miscellaneous Commercial Services | President Corporate Officer/Principal Director/Board Member | |
| REAVES UTILITY INCOME FUND | Investment Trusts/Mutual Funds | President Compliance Officer Treasurer Corporate Secretary Corporate Secretary | |
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 | Corporate Officer/Principal President Sales & Marketing Corporate Officer/Principal | |
| CLOUGH GLOBAL OPPORTUNITIES FUND | Investment Trusts/Mutual Funds | President Corporate Secretary Compliance Officer Director of Finance/CFO Corporate Officer/Principal Corporate Secretary | |
TD Ameritrade, Inc.
 TD Ameritrade, Inc. Investment Banks/BrokersFinance TD Ameritrade, Inc. is an investment brokerage firm headquartered in Omaha, Nebraska. They are a subsidiary of TD Ameritrade Online Holdings Corp., ultimately owned by The Charles Schwab Corp. (NYSE: SCHW). The firm was founded in 1975 and provides online brokerage services to their clients. Customers can manage their investment portfolios via the Internet as well as through personal digital assistants, wireless phone services and interactive voice recognition systems. | Investment Banks/Brokers | Compliance Officer | |
| CLOUGH GLOBAL EQUITY FUND | Investment Trusts/Mutual Funds | Chief Executive Officer Corporate Secretary Compliance Officer Director of Finance/CFO Corporate Secretary Corporate Secretary | |
| LIBERTY ALL-STAR GROWTH FUND, INC. | Investment Trusts/Mutual Funds | Compliance Officer Treasurer Corporate Secretary Compliance Officer Treasurer | |
| FTAM Funds Distributor, Inc. | Director/Board Member General Counsel President | ||
Rivernorth Securities LLC
 Rivernorth Securities LLC Investment Banks/BrokersFinance Rivernorth Securities LLC is an American company. | Investment Banks/Brokers | Director/Board Member Chief Executive Officer | |
| ALPS Series Trust | Investment Trusts/Mutual Funds | Chairman Director/Board Member Corporate Secretary | |
| Michigan State University | College/University | Undergraduate Degree | |
| SRH TOTAL RETURN FUND, INC. | Investment Trusts/Mutual Funds | Treasurer Compliance Officer Treasurer | |
Deloitte & Touche LLP
 Deloitte & Touche LLP Miscellaneous Commercial ServicesCommercial Services Deloitte & Touche LLP engages in the provision of audit, advisory, financial advisory, tax, and consulting services. The company was founded on March 7, 1995 and is headquartered in New York, NY. | Miscellaneous Commercial Services | Corporate Officer/Principal | |
Thompson Hine LLP
 Thompson Hine LLP Miscellaneous Commercial ServicesCommercial Services Thompson Hine LLP provides legal services. It offers services to financial institutions, governments, individuals, multinational corporations and non-profit organizations. The firm also handles issues related to antitrust, corporate transactions, e-business, employee benefits and executive compensation, succession planning, taxation, and labor and employment law. It focuses on energy, healthcare, international trade, telecommunication, and transportation law. The company was founded in 1911 and is headquartered in Cleveland, OH. | Miscellaneous Commercial Services | Corporate Officer/Principal Corporate Officer/Principal | |
| CLOUGH GLOBAL DIVIDEND AND INCOME FUND | Investment Trusts/Mutual Funds | President Corporate Secretary Compliance Officer Director of Finance/CFO Corporate Officer/Principal Corporate Secretary | |
| Bellevue University | College/University | Undergraduate Degree | |
| Old Dominion University | College/University | Undergraduate Degree | |
| The University of Colorado | College/University | Undergraduate Degree Undergraduate Degree Graduate Degree Undergraduate Degree | |
University of Colorado Foundation, Inc.
 University of Colorado Foundation, Inc. Miscellaneous Commercial ServicesCommercial Services University of Colorado Foundation, Inc. provides financial support to charitable causes. It raises private funds from outside for support the University's strategic initiatives. The firm manages investments such as endowment funds and charitable trusts. The company was founded in 1967 and is headquartered in Boulder, CO | Miscellaneous Commercial Services | Director/Board Member Chief Executive 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 | Director/Board Member Compliance Officer Corporate Officer/Principal | |
CFA Institute
 CFA Institute Miscellaneous Commercial ServicesCommercial Services CFA Institute operates as non-profit organization, which engages in the provision of chartered financial analyst programs. It offers certificate in investment performance measurement program, investment foundations, and scholarship. The company was founded in 1965 and is headquartered in Charlottesville, VA. | Miscellaneous Commercial Services | Corporate Officer/Principal Corporate Officer/Principal | |
CFA Society of Chicago
 CFA Society of Chicago Miscellaneous Commercial ServicesCommercial Services CFA Society of Chicago is an investment analysts society that brings together nearly 4,200 top professionals involved in investment analysis. The society is based in Chicago, IL and is the oldest of its kind. The CFA designation is recognized by the society as a recognition of knowledge, skills, and abilities in security analysis and portfolio management. Christopher Thomas Vincent has been the CEO of the non-profit company since 2020. | Miscellaneous Commercial Services | Corporate Officer/Principal Corporate Officer/Principal | |
RiverNorth Capital Management LLC
 RiverNorth Capital Management LLC Investment ManagersFinance RiverNorth Capital Management LLC (RiverNorth) is a SEC-registered investment advisor headquartered in West Palm Beach, Florida. The firm was founded by Brian H. Schmucker in 2000 and is a wholly owned subsidiary of RiverNorth Financial Holdings LLC, which is majority owned by RiverNorth Holding Co. RiverNorth serves as an institutional investment manager to registered funds, private funds and separately managed accounts. | Investment Managers | Compliance Officer Chief Executive Officer President Analyst-Equity General Counsel | |
Samaritan Institute, Inc.
 Samaritan Institute, Inc. Miscellaneous Commercial ServicesCommercial Services Samaritan Institute, Inc. provides counseling, education and consulting service. The company was founded in 1972 and is headquartered in Denver, CO. | Miscellaneous Commercial Services | Director/Board Member | |
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 | President Corporate Officer/Principal Comptroller/Controller/Auditor Director/Board Member General Counsel Corporate Officer/Principal Corporate Officer/Principal Corporate Officer/Principal Comptroller/Controller/Auditor | |
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 | Director/Board Member Chief Operating Officer Sales & Marketing Director/Board Member | |
Morningstar Investment Management LLC
 Morningstar Investment Management LLC Investment ManagersFinance Morningstar Investment Management LLC is a SEC-registered investment advisor headquartered in Chicago, Illinois. The firm was founded in 1999 and is a wholly-owned subsidiary of Morningstar, Inc. (NASDAQ: MORN). Morningstar Investment Management offers various investment advisory services that focus on their core capabilities in asset allocation, investment selection, and portfolio construction to financial or other institutions. | Investment Managers | Corporate Officer/Principal | |
FIM Group Cos.
 FIM Group Cos. Real Estate DevelopmentFinance FIM Group Cos. provides real estate and logistics services. The firm offers services through its subsidiaries including FIM Consulting Plus (consulting services at real estate market), FIM Group, and FIM Capital (registration and management of the investment fund activities). It develops projects for the logistics, corporate, retail, residential, hotel and restaurant, and fitness sectors. The company was founded in 2000 and is headquartered in Kyiv, Ukraine. | Real Estate Development | Corporate Officer/Principal | |
| City of Boulder (Colorado) | Municipality | Director/Board Member | |
Wells Fargo Securities LLC
 Wells Fargo Securities LLC Investment Banks/BrokersFinance Wells Fargo Securities LLC (WFS) is the broker/dealer subsidiary of EVEREN Capital Corp., ultimately owned by Wells Fargo & Co. (NYSE: WFC). Headquartered in New York, WFS delivers a comprehensive suite of banking, capital markets and advisory solutions, such as a full complement of sales, trading and research capabilities, to corporate, government and institutional clients. | Investment Banks/Brokers | Corporate Officer/Principal Corporate Officer/Principal | |
| PRINCIPAL REAL ESTATE INCOME FUND | Investment Trusts/Mutual Funds | Compliance Officer Treasurer Treasurer Director/Board Member President Compliance Officer Treasurer | |
| ALPS ETF Trust | Investment Trusts/Mutual Funds | Compliance Officer Director of Finance/CFO Director/Board Member Treasurer Compliance Officer | |
| Paralel Technologies LLC | Chief Executive Officer Compliance Officer Corporate Officer/Principal Compliance Officer | ||
| Clough Funds Trust | Investment Trusts/Mutual Funds | Treasurer Treasurer Corporate Secretary | |
RiverNorth Holding Co.
 RiverNorth Holding Co. Financial ConglomeratesFinance RiverNorth Holding Co. operates as a holding company. The company is headquartered in Delaware. | Financial Conglomerates | Director/Board Member Director/Board Member Director/Board Member | |
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 | President Corporate Officer/Principal President | |
| Paralel Distributors LLC | Chief Executive Officer President | ||
| Garden Leave | President | ||
| Boulder Community Hospital | Director/Board Member | ||
| ALPS ETF TRUST - ALERIAN MLP ETF | Investment Trusts/Mutual Funds | President | |
| CU Real Estate Center | College/University | Director/Board Member | |
| Colorado Outward Bound School | Director/Board Member |
Statistics
International
| United States | 45 |
| Canada | 2 |
| Hong Kong | 2 |
| Ukraine | 2 |
Sectoral
| Miscellaneous | 15 |
| Finance | 14 |
| Commercial Services | 8 |
| Consumer Services | 6 |
| Government | 2 |
Operational
| Director/Board Member | 114 |
| Corporate Officer/Principal | 83 |
| President | 49 |
| Treasurer | 45 |
| Independent Dir/Board Member | 41 |
Most connected contacts
| Insiders | |
|---|---|
| Jeremy May | 28 |
| John Carter | 25 |
| J. Hutchens | 25 |
| David Swanson | 23 |
| Sareena Khwaja-Dixon | 21 |
| Patrick Galley | 19 |
| Jerry Raio | 19 |
| Christopher Moore | 19 |
| Tom Carter | 16 |
| Jonathan Mohrhardt | 16 |
| Jill Kerschen | 16 |
| Fred G. Steingraber | 15 |
| Erin Douglas Nelson | 15 |
| Marc Collins | 14 |
| Lisa Mougin | 11 |
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