CIK 1106129
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 2026-03-30). 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 2026-03-30. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| MCIVER, ROBERT, DAVID | PRESIDENT AND MANAGING DIRECTOR | 2007-02 | 25–50% ·◆ |
| GODDARD, GABRIEL, LEE | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL, MANAGING DIRECTOR | 2012-09 | 5–10% ·◆ |
| BOND, ALLEN, THOMAS | VICE PRESIDENT AND MANAGING DIRECTOR | 2017-09 | <5% ·◆ |
| CLARK, RICHARD, WILLIAM | MANAGING DIRECTOR - BUSINESS DEVELOPMENT | 2024-10 | <5% ·◆ |
| CONTRERAS, SHANNON, MARIE | VICE PRESIDENT, TREASURER, AND MANAGING DIRECTOR | 2022-06 | <5% ·◆ |
| CALAMAR, ADAM, DOUGLAS | PORTFOLIO MANAGER | 2015-09 | 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) |
|---|---|---|---|
| SCHOENSTEIN, ERIC, HERBERT | VICE PRESIDENT AND MANAGING DIRECTOR · VICE PRESIDENT AND PRINCIPAL | 2024-03 | — not seen at a tracked firm |
| FERRIE, BRIAN, SCOTT | VICE PRESIDENT, TREASURER, MANAGING DIRECTOR · VICE PRESIDENT, TREASURER, PRINCIPAL · VICE PRESIDENT, TREASURER AND CHIEF COMPLIANCE OFFICER, PRINCIPAL · VICE PRESIDENT AND TREASURER, PRINCIPAL | 2019-06 | — not seen at a tracked firm |
| ZAGUNIS, ROBERT, FRANK | CHAIRMAN AND MANAGING DIRECTOR · VICE PRESIDENT AND SECRETARY, MANAGING DIRECTOR · VICE PRESIDENT AND SECRETARY, PRINCIPAL | 2017-09 | — not seen at a tracked firm |
| SMITH, THOMAS, RICHARD | VICE PRESIDENT AND MANAGING DIRECTOR · DIRECTOR OF OPERATIONS & INFORMATION SYSTEMS, MANAGING DIRECTOR · DIRECTOR OF OPERATIONS & INFORMATION SYSTEMS | 2017-09 | — not seen at a tracked firm |
| MERTENS, DAVID, GERHARD | VICE PRESIDENT AND MANAGING DIRECTOR · VICE PRESIDENT AND PRINCIPAL | 2016-03 | — not seen at a tracked firm |
| OTTOSEN, JENNIFER, ANN | CHIEF COMPLIANCE OFFICER AND COUNSEL | 2012-07 | PRIMECAP MANAGEMENT CO/CA/ |
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.
