CIK 1005441
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2025-Q4. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.
Firm-level facts as reported by the adviser on Form ADV Part 1A (latest filing 2026-06-18). Regulatory assets under management (RAUM) is Form ADV's gross figure and can differ from a 13F long book — it includes private-fund assets, leverage and non-13(f) securities. Titles and figures as-filed. Latest ADV filing 2026-06-18. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| BREGOZZO, MATTHEW, GREGORY | CHIEF COMPLIANCE OFFICER | 2024-04 | <5% ·◆ |
| BUCHHEISTER, JEFFREY, ROBERT | VICE PRESIDENT | 2025-06 | <5% ·◆ |
| Budevich, Serge | VICE PRESIDENT & TAX OFFICER | 2025-08 | <5% ·◆ |
| Gok, Lisa, Anne | DIRECTOR/SECRETARY | 2024-01 | <5% ·◆ |
| Gooley, Thomas | DIRECTOR | 2024-01 | <5% ·◆ |
| Hanau, Jennifer, Leigh | VICE PRESIDENT | 2025-08 | <5% ·◆ |
| LEE, WINNIE, AI-LING | ASST. SECRETARY | 2024-01 | <5% ·◆ |
| Mackay, Todd, Christopher | VICE PRESIDENT | 2024-10 | <5% ·◆ |
| Molnar, Michael, James | VICE PRESIDENT | 2024-12 | <5% ·◆ |
| NEARY, JOSEPH, DANIEL | DIRECTOR/VICE PRESIDENT | 2024-01 | <5% ·◆ |
| ROSALEZ, LOUIE, ALAN | SR. VICE PRESIDENT | 2012-02 | <5% ·◆ |
| Shores, Allan, Keith | TREASURER | 2024-01 | <5% ·◆ |
| Van Havermaat, David, James | ASST. SECRETARY | 2024-01 | <5% ·◆ |
| Vays, Tamas | ASST. SECRETARY | 2024-12 | <5% ·◆ |
| WATTS, ANDREW, DAVID | PRESIDENT | 2024-10 | <5% ·◆ |
| ALLEN, JASON, JEFFREY | VICE PRESIDENT | 2022-04 | <5% |
| AVANTAX WM HOLDINGS, INC.entity | SOLE SHAREHOLDER | 2024-11 | 75%+ ·◆ |
Direct owners and executive officers as filed on the adviser's Form ADV Schedule A (as-filed titles; ADV updates annually and on material change). This lists officers and 5%+ owners — not necessarily the full portfolio-management team.
Signed this manager's latest 13F (2026-Q1). The filing's authorized signatory — frequently a compliance officer, general counsel, or CFO — not necessarily the portfolio manager or firm leadership.
| Name | Role (as filed) | Departed after | Now at (if tracked) |
|---|---|---|---|
| Chaffin, Gary, Lynn | TAX OFFICER | 2024-11 | — not seen at a tracked firm |
| FRIES, MATTHEW, NEIL KALANI | VICE PRESIDENT | 2024-11 | Cetera Investment Advisers |
| ROD, CHRIS, G | CO-TREASURER · SECRETARY/TREASURER | 2024-04 | — not seen at a tracked firm |
| LONER, MELISSA, RILYNN | CHIEF COMPLIANCE OFFICER | 2024-03 | — not seen at a tracked firm |
| GRUHL, IVAN, PAUL | VICE PRESIDENT/CHIEF INVESTMENT OFFICER · VP, CHIEF INVESTMENT OFFICER · VP · VICE PRESIDENT | 2023-02 | — not seen at a tracked firm |
| PAGANO, MICHAEL, ANTHONY | CHIEF COMPLIANCE OFFICER · VICE PRESIDENT | 2023-02 | — not seen at a tracked firm |
| Bruder, Ann, J | BOARD MEMBER | 2023-02 | — not seen at a tracked firm |
| COSE, BRIAN, DAVID | CHIEF CLIENT DEVELOPMENT OFFICER · SECRETARY, EVP/NATIONAL SALES MANAGER, DIRECTOR · EVP/NATIONAL SALES MANAGER · SVP/DIRECTOR · DIRECTOR | 2022-03 | — not seen at a tracked firm |
| KOBES, CHRISTOPHER, JOSEPH | CHIEF COMPLIANCE OFFICER | 2021-08 | — not seen at a tracked firm |
| RUSS, BRIAN, MICHAEL | VICE PRESIDENT · VP · ASST VP | 2021-01 | — not seen at a tracked firm |
| DEMENT, KEVIN, PAUL | VICE PRESIDENT · VP | 2021-01 | — not seen at a tracked firm |
| READY, JENNIFER, ANN | VICE PRESIDENT · VP | 2021-01 | — not seen at a tracked firm |
| DARRAH, JOHN, ROBERT | CHAIRMAN/CEO/DIRECTOR · PRESIDENT/CEO/DIRECTOR | 2020-06 | — not seen at a tracked firm |
| BURBACH, GREGORY, CARL | DIRECTOR | 2020-06 | — not seen at a tracked firm |
| DAUGHETEE, JENNIFER, LYNN | TREASURER/DIRECTOR · TREASURER | 2020-06 | — not seen at a tracked firm |
| HOFFMANN, NATALIE | DIRECTOR | 2020-06 | — not seen at a tracked firm |
| ROGERS, DOUG | DIRECTOR | 2020-06 | — not seen at a tracked firm |
| SCHMITT, KEVIN, RONALD | DIRECTOR | 2020-06 | — not seen at a tracked firm |
| THOMS, JON | DIRECTOR | 2020-06 | — not seen at a tracked firm |
| HAUBER, RYAN, JOHN | DIRECTOR | 2020-06 | — not seen at a tracked firm |
| THOMAS, KATIE, JO | DIRECTOR | 2020-06 | — not seen at a tracked firm |
| WELBES, MICHAEL, PETER | DIRECTOR | 2020-06 | — not seen at a tracked firm |
| WALLOCH, SCOTT, GLEN | DIRECTOR | 2020-06 | — not seen at a tracked firm |
| MCCORKINDALE, ANN, SEXTON | CHIEF INVESTMENT OFFICER/DIRECTOR/EVP · CHIEF INVESTMENT OFFICER/DIRECTOR | 2017-07 | — not seen at a tracked firm |
| LEIBFRIED, DALE | DIRECTOR | 2017-07 | — not seen at a tracked firm |
| SIEMONSMA, JAMES, PAUL | SVP, DIRECTOR · SVP | 2017-07 | — not seen at a tracked firm |
| LABONNE, JANICE, YOLAINE | COMPLIANCE OFFICER | 2017-03 | — not seen at a tracked firm |
| HERRIG, JAMES, WILFRED | SECRETARY / CHIEF COMPLIANCE OFFICER/DIRECTOR/EVP · SECRETARY / CHIEF COMPLIANCE OFFICER/DIRECTOR | 2015-11 | — not seen at a tracked firm |
| HELLE, RONALD, FRANCIS | DIRECTOR | 2015-11 | — not seen at a tracked firm |
| MCQUILLEN, ROBERT, REYNOLD | DIRECTOR | 2013-09 | — not seen at a tracked firm |
| HONKAMP, ARNOLD, NICHOLAS | DIRECTOR · CHAIRMAN OF THE BOARD | 2012-10 | — not seen at a tracked firm |
| HOWARD, RICHARD, KENNETH | VICE-PRESIDENT | 2012-10 | — not seen at a tracked firm |
Named owners/officers on a past Form ADV Schedule A who are gone from the firm's latest filing. “Departed after” is the last dated filing they appear on. A landing shows only when the destination is another SEC-registered adviser we track.
