Roberto Walter Roffo

TS&W/Claymore Tax-Advantaged Balanced Fund is a closed-End Investment Fund/Investment Trust. Its investment objective is to provide a high level of total after-tax return, including attractive tax-advantaged income. The company is headquartered in Lisle, IL.

Founded in 2001 by David Hooten, Claymore Securities, Inc. is a registered investment advisor based in Lilse, Illinois with offices in Conshohocken, Pennsylvania and Princeton, New Jersey. The firm also does business as Claymore Advisors LLC. They are a subsidiary of the Claymore Group, Inc. The firm is a wholly-owned subsidiary of Guggenheim Capital LLC, a global, independent, privately-held, diversified financial services firm that, through their affiliates, provides investment management, investment advisory, insurance, investment banking and capital markets services. Guggenheim Capital is headquartered in Chicago and New York City with offices throughout the US, Europe and Asia. Claymore Securities provides investment management services to financial advisors and their clients.

Advisors Asset Management, Inc. (AAM) is a SEC-registered investment advisor headquartered in Monument, Colorado. The firm was founded in 1979 as Fixed Income Securities LP. In 2023, Sun Life Capital Management (US) LLC, a subsidiary of Sun Life Financial, Inc. (TSE: SLF) in Canada, acquired a 51 percent majority stake in the firm. AAM provides portfolio supervisory and evaluation services to AAM-sponsored unit investment trusts (UITs). They also offer separately managed account (SMA) advisory services to individuals, banking or thrift institutions, trusts, estates, broker-dealers, investment advisers, investment companies, corporations, pension or profit-sharing plans and charitable organizations.

Part of BlackRock, Inc., Merrill Lynch Investment Managers LP provides investment advice. The private company is based in Plainsboro, NJ.

Founded in 2006, SMC Fixed Income Management LLC is a registered investment advisor located in West Windsor, New Jersey. The firm is a subsidiary of Spring Mountain Capital LP. They provide investment management services to mutual funds and managed accounts for high net-worth individuals.

16th Amendment Advisors LLC (16th Amendment) is an independent, SEC-registered investment advisor and wealth management firm headquartered in New York City. The firm was founded in 2009 by John Lee, Richard McCarthy and Evan Lamp in 2009. 16th Amendment manages the Five Star rated Vicksburg Municipal Fund, as well as manages separate accounts for high-net-worth investors.

SWBC Investment Co. (SWBC) is a SEC-registered investment advisor headquartered in San Antonio, Texas. They are primarily owned by Southwest Business Corp. The firm provides investment advisory services to individuals, high net worth individuals, banking or thrift institutions, charitable organizations and corporations or other businesses. SWBC also provides discretionary investment management services to registered mutual funds and private pooled investment vehicles.