CIK 1095952
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2023-Q3. 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.
Signed this manager's latest 13F (2023-Q4). 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) |
|---|---|---|---|
| HESPE, LAURA, AN | CHIEF OPERATING OFFICER, MEMBER · CHIEF OPERATING OFFICER, CLASS A MEMBER · COO, CLASS A MEMBER | 2024-10 | Sargent Investment Group, LLC |
| GUPTILL, CHRISTOPHER, JON | CO-CEO, PRESIDENT, CO-CHIEF INVESTMENT OFFICER, MANAGER AND MEMBER · CO-CEO, PRESIDENT, CHIEF INVESTMENT OFFICER, MANAGER AND MEMBER · CO-CEO, PRESIDENT, CHIEF INVESTMENT OFFICER, MANAGER AND CLASS A MEMBER · CEO, PRESIDENT, CHIEF INVESTMENT OFFICER, MANAGER AND CLASS A MEMBER | 2023-08 | — not seen at a tracked firm |
| MONTGOMERY, JOHN, PORTER | MANAGER · CHIEF OPERATING OFFICER | 2023-04 | — not seen at a tracked firm |
| KEELEY, MARK, THOMAS | MANAGER | 2022-12 | — not seen at a tracked firm |
| GERRON, JULIE, K | SENIOR VICE PRESIDENT - GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 2022-12 | Sendero Wealth Management, LLC |
| BACHTOLD, PAUL, AXTELL | CHIEF COMPLIANCE OFFICER | 2022-03 | Salient Capital Advisors, LLC, Forward Management, LLC |
| BAYAZITOGLU, KRISTEN, LINDSAY | MANAGER | 2022-03 | Salient Capital Advisors, LLC, Forward Management, LLC |
| ENSZER, WILLIAM, KANE | MANAGER | 2022-03 | Salient Capital Advisors, LLC, Forward Management, LLC |
| RADCLIFFE, JEREMY, LAWRENCE | CHAIRMAN, MANAGER · MANAGER | 2021-05 | — not seen at a tracked firm |
| HIBBETTS, MATTHEW, SCOTT | MANAGER | 2020-07 | — not seen at a tracked firm |
| BLAISDELL, JOHN, ARTHUR | CHAIRMAN, MANAGER · MANAGER | 2020-02 | — not seen at a tracked firm |
| DEPRIEST, JONATHAN, WADE | MANAGER | 2019-07 | — not seen at a tracked firm |
| BARNETT, DANIEL, JOSEPH | CHAIRMAN, MANAGER AND MEMBER · CHAIRMAN, MANAGER AND CLASS A MEMBER · CHAIRMAN, AND CLASS A MEMBER | 2019-03 | — not seen at a tracked firm |
| KINDER, JOHN | MEMBER, MANAGER · CLASS B MEMBER, MANAGER | 2019-03 | — not seen at a tracked firm |
| CROWN, JEROME | MANAGER AND MEMBER · CHIEF FINANCIAL OFFICER, MANAGER AND MEMBER · CHIEF FINANCIAL OFFICER, MANAGER AND CLASS A MEMBER · CHIEF FINANCIAL OFFICER AND CLASS A MEMBER · CHIEF FINANCIAL OFFICER, MANAGER AND CLASS A MEMBER | 2018-02 | — not seen at a tracked firm |
| SWANSON, ANN MARIE | CHIEF COMPLIANCE OFFICER | 2016-09 | — not seen at a tracked firm |
| COOK, EDWARD, JAMES | CHIEF COMPLIANCE OFFICER | 2015-07 | — not seen at a tracked firm |
| MAINS, NORMAN, ELLSWORTH | MANAGER | 2015-03 | — not seen at a tracked firm |
| WHITE, LOIRE, LEE | MANAGER | 2015-03 | — not seen at a tracked firm |
| KEELEY, JR, JOHN, LEMUEL | MANAGER · MANAGER, TTEE OF JOHN L KEELEY JR RESTATED REVOCABLE TRUST | 2015-03 | — not seen at a tracked firm |
| CHOW, DAVID, HUAIMING | MANAGER | 2013-08 | — not seen at a tracked firm |
| DOUGHERTY, EDWARD, ANTHONY | EXECUTIVE MANAGING DIRECTOR AND CLASS A MEMBER | 2013-03 | — not seen at a tracked firm |
| SEIGERMAN, ALAN, ARTHUR | MANAGER | 2012-09 | — not seen at a tracked firm |
| CUSACK, JEFFREY, PATRICK | MANAGER | 2012-06 | — 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.
