CIK 1117233
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 |
|---|---|---|---|
| FEIT, ADAM BRIAN | HEAD OF SPECIALIZED INDUSTRIES AND CAPITAL MARKETS, DIRECTOR | 2024-09 | <5% ·◆ |
| GERAGHTY, DOUGLAS P | CHIEF COMPLIANCE OFFICER, DIRECTOR | 2023-09 | <5% ·◆ |
| PAWANI, SHWETA PRABHUDAS | FINOP/CHIEF FINANCIAL OFFICER | 2025-09 | <5% ·◆ |
| PITTSEY, MARK ANDREW | HEAD OF PRIVATE BANKING & WEALTH MANAGEMENT, DIRECTOR | 2025-04 | <5% ·◆ |
| RAFFETTO, RICHARD ALEXANDER | PRESIDENT OF COMMERCIAL AND PRIVATE BANKING, DIRECTOR | 2024-09 | <5% ·◆ |
| STERN, SETH WILLIAM | SENIOR DEPUTY GENERAL COUNSEL, DIRECTOR | 2024-09 | <5% ·◆ |
| MCGLYNN, BRIAN JOSEPH | COMPLIANCE REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE OFFICER | 2009-01 | <5% |
| PERRY, PHILIP VINCENT | CEO, OSJ PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL, SENIOR REGISTERED OPTIONS PRINCIPAL | 2000-11 | <5% |
| FLAGSTAR BANK, N.A.entity | SHAREHOLDER | 2023-04 | 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 (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) |
|---|---|---|---|
| MAGUIRE, WILLIAM JOHN JR | CEO, PRESIDENT, DIRECTOR · CEO, PRESIDENT | 2024-09 | — not seen at a tracked firm |
| ROBERTS, JONATHAN HENRY | FINOP/CHIEF FINANCIAL OFFICER, DIRECTOR · FINOP/CHIEF FINANCIAL OFFICER | 2024-09 | — not seen at a tracked firm |
| BIRNBAUM, JASON ALAN | PRESIDENT OF PRIVATE BANK, DIRECTOR | 2024-09 | — not seen at a tracked firm |
| MARRAZZO, ROSS NMN | DIRECTOR | 2024-08 | — not seen at a tracked firm |
| DEMARIA, DANIELA | HEAD OF WEALTH MANAGEMENT | 2024-08 | — not seen at a tracked firm |
| KAPLAN, ANDREW LYLE | DIRECTOR | 2024-07 | — not seen at a tracked firm |
| O'KEEFFE, IVOR PATRICK | CHIEF OPERATING OFFICER, DIRECTOR · CHIEF OPERATING OFFICER | 2024-04 | — not seen at a tracked firm |
| HOWELL, ERIC RAYMOND | DIRECTOR · CFO/TREASURER | 2023-11 | — not seen at a tracked firm |
| FRASIER, MICHAEL JOHN | CHIEF COMPLIANCE OFFICER | 2023-09 | — not seen at a tracked firm |
| DEPAOLO, JOSEPH JOHN | DIRECTOR · CHAIRMAN | 2023-03 | — not seen at a tracked firm |
| SHAY, SCOTT AARON | CHAIRMAN · DIRECTOR | 2023-03 | — not seen at a tracked firm |
| TAMBERLANE, JOHN | DIRECTOR | 2023-03 | — not seen at a tracked firm |
| BLECHNER, MYLES, REID | CHIEF COMPLIANCE OFFICER | 2021-03 | LBMC INVESTMENT ADVISORS, LLC |
| SHIPLEY-BURNS, CATHERINE MARIE | CHIEF COMPLIANCE OFFICER | 2017-03 | — 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.
