CIK 1120926
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 2026-03-27). 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 2026-03-27. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| FINERTY, STEVEN, LOGAN | CHAIRMAN, CEO , AND MEMBER | 1998-09 | 25–50% ·◆ |
| FINERTY, LOGAN, WILLIAM | PRESIDENT AND MEMBER | 2025-01 | 10–25% ·◆ |
| HAMMER, SUZANNE, MARION | CHIEF COMPLIANCE OFFICER | 2023-11 | <5% ·◆ |
| HERBSTREIT, JAYME, ELIZABETH | DIRECTOR OF OPERATIONS | 2023-11 | <5% ·◆ |
| O'MEARA, THOMAS, EDWARD | VICE CHAIRMAN AND MEMBER | 2020-01 | <5% ·◆ |
| WASHBURN, MICHELLE, ELAINE | CHIEF FINANCIAL OFFICER | 2023-11 | <5% ·◆ |
| CRAWFORD, KENNETH, HANSON | PORTFOLIO MANAGER EMERITUS AND MEMBER | 2008-03 | 10–25% |
| HARRISON, SCOTT, ANDREW | PORTFOLIO MANAGER AND MEMBER | 2021-12 | 5–10% |
| MCDONALD, KIRK, FELIX | PORTFOLIO MANAGER AND MEMBER | 2025-08 | 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) |
|---|---|---|---|
| HAYEK, LAURIE, ANN | DIRECTOR OF COMPLIANCE · OPERATIONS MANAGER & CHIEF COMPLIANCE OFFICER | 2023-12 | — not seen at a tracked firm |
| CAPLINGER, MARK | CHIEF OPERATING OFFICER AND DIRECTOR · CHIEF OPERATING OFFICER | 2023-03 | — not seen at a tracked firm |
| MOSKOFF, WILLIAM, B. | DIRECTOR AND MEMBER | 2021-03 | — not seen at a tracked firm |
| MEARA, JOHN, FRANCIS | PRESIDENT, DIRECTOR, AND MEMBER | 2020-06 | — not seen at a tracked firm |
| AKANDE, BENJAMIN | DIRECTOR AND MEMBER | 2020-06 | — not seen at a tracked firm |
| SINDELAR, DAVID, M | DIRECTOR AND MEMBER | 2017-03 | — not seen at a tracked firm |
| REDMOND, CHRISTOPHER, BERNARD | CHIEF OPERATING OFFICER AND MEMBER | 2014-04 | — not seen at a tracked firm |
| JERMAK, MATTHEW, JOHN | MEMBER · PORTFOLIO MANAGER & MEMBER | 2013-03 | — not seen at a tracked firm |
| PRUELLAGE, JOHN, K | DIRECTOR AND MEMBER | 2012-04 | — 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.
