CIK 1132699
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 |
|---|---|---|---|
| BAKER, BRIAN, C. | PARTNER | 2023-03 | <5% ·◆ |
| BUEHLER, MARTIN | PRESIDENT | 2012-12 | <5% ·◆ |
| MULLINS, PETER, J | PARTNER | 2020-12 | <5% ·◆ |
| SLOTT, DENNIS, JAMES | EXECUTIVE VICE PRESIDENT | 2012-10 | <5% ·◆ |
| STUTH, SCOTT, ANTHONY | PARTNER | 2020-12 | <5% ·◆ |
| BARR, CAROLYN, CETERA | CHIEF COMPLIANCE OFFICER | 2020-06 | <5% |
| DUBUQUE, SAMANTHA, HARRISON | CHIEF OPERATING OFFICER | 2024-01 | <5% |
| FOCUS OPERATING, LLCentity | MEMBER | 2012-10 | 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) |
|---|---|---|---|
| MCNULTY, WILLIAM, PATRICK | TREASURER & CHIEF COMPLIANCE OFFICER | 2019-07 | — not seen at a tracked firm |
| BAKER, BRIAN, CHRISTIAN | PRESIDENT & CHIEF INVESTMENT OFFICER | 2012-11 | — 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.
