CIK 1014894
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2023-Q2. 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 |
|---|---|---|---|
| KUFLIK, MITCHELL, ANDREW | PRINCIPAL | 1989-11 | 25–50% ·◆ |
| SOBEL, ROBERT, JOSEPH | PRINCIPAL | 1989-11 | 25–50% ·◆ |
| HALL, OMOY, ANDREW | CHIEF COMPLIANCE OFFICER | 2023-04 | <5% ·◆ |
| SULTAN, LOUIS, JAY | CHIEF FINANCIAL OFFICER & CHIEF OPERATING OFFICER | 2008-01 | <5% ·◆ |
| KUFLIK, KAREN, (NMN) | TRUSTEE - MITCHELL A. KUFLIK 1997 GRAT | 1997-07 | 5–10% |
| SOBEL, KAREN, ROSKIND | TRUSTEE - ROBERT J. SOBEL 1997 GRAT | 1997-07 | 5–10% |
| MITCHELL A. KUFLIK 1997 GRATentity | OWNER | 1997-07 |
| 5–10% |
| ROBERT J. SOBEL 1997 GRATentity | OWNER | 1997-07 | 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 (2023-Q3). 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) |
|---|---|---|---|
| METZMAN, DAVID, BENJAMIN | GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | 2023-03 | — not seen at a tracked firm |
| GROSSMAN, RICHARD, (NMN) | GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | 2021-02 | — not seen at a tracked firm |
| HOCHFELDER, PETER, ADAM | PRINCIPAL | 2016-03 | — not seen at a tracked firm |
| HOCHFELDER, STACY, LERNER | TRUSTEE - PETER A. HOCHFELDER 1997 GRAT | 2016-03 | — not seen at a tracked firm |
| D'EREDITA, WILLIAM, JOSEPH | CHIEF OPERATING OFFICER | 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.
