CIK 1007524
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 2026-03-31). 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 2026-03-31. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| HALBERSTADT, CATHERINE | SHAREHOLDER | 2018-01 | 5–10% ·◆ |
| KAUFMAN, CARL, PHILIP | CO-CEO AND CO-PRESIDENT | 2017-04 | <5% ·◆ |
| OSTERWEIS, JOHN, STEVEN | CHAIRMAN | 2016-05 | <5% ·◆ |
| TAVERNETTI, JOHN, FOXON | CHIEF COMPLIANCE OFFICER | 2005-01 | <5% ·◆ |
| MANCHUCK, CRAIG, LEONARD | SHAREHOLDER | 2022-05 | 5–10% |
| ANGOVE, MARTHA, ELIZABETH | TRUSTEE, CARL KAUFMAN & MARTHA ANGOVE REVOCABLE TRUST | 2004-01 | <5% |
| CHANG, SARAH | TRUSTEE, EUBANKS/CHANG FAMILY TRUST | 2017-01 | <5% |
| COLEMAN, JOHN, SCOTT | DIRECTOR | 2022-04 | <5% |
| EUBANKS, SHAWN, MICHAEL | TRUSTEE, EUBANKS/CHANG FAMILY TRUST | 2017-01 | <5% |
| HERMANSKI, GREGORY, SCOTT | TRUSTEE, HERMANSKI FAMILY TRUST | 2004-01 | <5% |
| HERMANSKI, REBECCA, DAWN | TRUSTEE, HERMANSKI FAMILY TRUST | 2004-01 | <5% |
| KANE, BRADLEY, MORGAN | TRUSTEE, KANE FAMILY TRUST DTD 6/27/2005 | 2018-01 | <5% |
| KANE, RACHEL, ZENNER | TRUSTEE, KANE FAMILY TRUST DTD 6/27/2005 | 2018-01 | <5% |
| MACLELLAN, JOHN, STEPHEN | DIRECTOR | 2022-04 | <5% |
| CARL KAUFMAN & MARTHA ANGOVE REVOCABLE TRUSTentity | SHAREHOLDER | 2004-01 | 10–25% |
| OSTERWEIS REVOCABLE TRUST, U/A/DATED 09/13/1993entity | SHAREHOLDER | 1994-01 | 10–25% |
| EUBANKS/CHANG FAMILY TRUSTentity | SHAREHOLDER | 2017-01 | 5–10% |
| HERMANSKI FAMILY TRUSTentity | SHAREHOLDER | 2004-01 | 5–10% |
| KANE FAMILY TRUST DTD 6/27/2005entity | SHAREHOLDER | 2018-01 | 5–10% |
| OCM STOCK HOLDINGS, LLCentity | SHAREHOLDER | 2017-01 | 5–10% |
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) |
|---|---|---|---|
| FRIEDMAN, TULLY, MICHAEL | DIRECTOR | 2022-03 | — not seen at a tracked firm |
| HELLMAN, MARCO, WARREN | DIRECTOR · CO-TRUSTEE, ADMININSTRATIVE TRUST UNDER THE HELLMAN FAMILY REVOCABLE | 2022-03 | HMI Capital Management, L.P. |
| LEE, MANG, C. | TRUSTEE, LEE FAMILY TRUST | 2017-03 | — not seen at a tracked firm |
| LEE, TSUN, HSIEN | TRUSTEE, LEE FAMILY TRUST | 2017-03 | — not seen at a tracked firm |
| BERLER, MATTHEW, KIP | TRUSTEE, BERLER FAMILY TRUST · PRESIDENT AND CEO | 2016-06 | — not seen at a tracked firm |
| BERLER, AMY, BERNHARD | TRUSTEE, BERLER FAMILY TRUST | 2016-06 | — not seen at a tracked firm |
| KOVRIGA, ALEXANDER (SASHA) | TRUSTEE, KOVRIGA FAMILY REVOCABLE TRUST · TRUSTEE, KOVRIGA FAMILY REV TRUST | 2016-06 | — not seen at a tracked firm |
| KOVRIGA, IRINA | TRUSTEE, KOVRIGA FAMILY REVOCABLE TRUST | 2016-06 | — not seen at a tracked firm |
| NICHTER, PAMELA, SUE | CO- CHIEF OPERATING OFFICER & CO-CHIEF FINANCIAL OFFICER · CHIEF OPERATING OFFICER & CHIEF FINANCIAL OFFICER · VP/CFO/COO | 2014-12 | — not seen at a tracked firm |
| HALL, KATHRYN, ANN | CO-TRUSTEE, PATRICIA CHRISTINA HELLMAN SURVIVOR'S TRUST, DATED DECEMBER 18, 2011 · CO-TRUSTEE, ADMINISTRATIVE TRUST UNDER THE HELLMAN FAMILY REVOCABLE TRUST | 2014-03 | — not seen at a tracked firm |
| HELLMAN, FREDERICK, WARREN | TRUSTEE, HELLMAN REVOCABLE TRUST | 2011-12 | — not seen at a tracked firm |
| HELLMAN, PATRICIA, CHRISTINE | TRUSTEE, HELLMAN REVOCABLE TRUST | 2011-12 | — 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.
