CIK 1009022
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2022-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.
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| BOCOCK, JOHN, HOLMES | CHAIRMAN, DIRECTOR, CHIEF COMPLIANCE OFFICER | 2000-07 | <5% ·◆ |
| GUNTER, BRADLEY, HUNT | PRESIDENT/DIRECTOR | 2000-07 | <5% ·◆ |
| MCVEY, GEORGE, JENNINGS | DIRECTOR, CHIEF FINANCIAL OFFICER | 2000-07 | <5% ·◆ |
| NEUHAUS, THOMAS, FRIEDICH | DIRECTOR, PORTFOLIO MANAGER | 2012-01 | <5% ·◆ |
| PINNACLE ASSOCIATES, LTD.entity | OWNER | 2023-05 | 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 (2023-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) |
|---|---|---|---|
| NEWINS, CATHERINE, HODGES | CHIEF COMPLIANCE OFFICER | 2021-03 | — not seen at a tracked firm |
| ARTHUR, ROBERT, BRUCE | DIRECTOR | 2013-03 | — 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.
