CIK 1040762
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.
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| MALTESE, TERRY, ANTHONY | PRESIDENT, MANAGING MEMBER | 1996-08 | 50–75% ·◆ |
| DONNELLY, SCOTT, ROBERT | CHIEF FINANCIAL OFFICER | 2021-06 | <5% ·◆ |
| WASSERMAN, MICHAEL, DAVID | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL | 2020-03 | <5% ·◆ |
| HALL, JOSEPH, ANTHONY | SENIOR MANAGING DIRECTOR, MEMBER | 2014-05 | 10–25% |
| RU, JACK, C | MANAGING DIRECTOR, MEMBER | 2015-01 | 10–25% |
| LIPSKY, EILEEN, MICHELLE | MANAGING DIRECTOR, MEMBER | 2005-01 | 5–10% |
| BYRNES, MATTHEW, FRANCIS | SENIOR MANAGING DIRECTOR, MEMBER | 2017-01 |
| <5% |
| COLASONO, CRAIG, M | MANAGING DIRECTOR, MEMBER | 2013-01 | <5% |
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) |
|---|---|---|---|
| Heflin, Karen, Forbes | MANAGING DIRECTOR, MEMBER | 2023-03 | — not seen at a tracked firm |
| GUGGENHEIMER, PAUL | CHIEF FINANCIAL OFFICER | 2020-06 | — not seen at a tracked firm |
| KUCSMA, SCOTT, ALLEN | CHIEF FINANCIAL OFFICER, MEMBER | 2020-03 | — not seen at a tracked firm |
| CRAIG, JASON, BRIAN | CHIEF COMPLIANCE OFFICER, MEMBER · CHIEF COMPLIANCE OFFICER | 2019-05 | ICONIQ Capital, LLC |
| PATEL, RAJEEV, JAYANT | MANAGING DIRECTOR, MEMBER | 2019-05 | — not seen at a tracked firm |
| CRONIN, GERARD, M | SENIOR MANAGING DIRECTOR, MEMBER · MANAGING DIRECTOR | 2019-03 | — 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.
