CIK 1226886
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 |
|---|---|---|---|
| BAEZ, ARLEEN, MARIE | CHIEF OPERATING OFFICER | 2008-06 | 25–50% ·◆ |
| SPELLMAN, MARK, THOMAS | CHIEF EXECUTIVE OFFICER | 2022-06 | 25–50% ·◆ |
| HENNESSEY, BRIAN, SCOTT | CHIEF INVESTMENT OFFICER | 2022-06 | 10–25% ·◆ |
| HUNT, SARAH, MARIE | CHIEF MARKET STRATEGIST | 2022-06 | 10–25% ·◆ |
| ROBLING, BRIAN, DAVID | CHIEF COMPLIANCE OFFICER | 2026-03 | <5% |
| ALPINE SAXON WOODS LLCentity | MANAGING MEMBER | 2022-06 | 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) |
|---|---|---|---|
| NORRIS, SUSAN, CONWAY | CHIEF COMPLIANCE OFFICER | 2024-03 | — not seen at a tracked firm |
| CARUSO, JOE, CHANFU | CHIEF FINANCIAL OFFICER | 2023-03 | — not seen at a tracked firm |
| LIEBER, STEPHEN, ANDREW | PRINCIPAL · CHIEF INVESTMENT OFFICER | 2019-12 | — not seen at a tracked firm |
| LIEBER, SAMUEL, ALFRED | CHIEF EXECUTIVE OFFICER | 2019-03 | — not seen at a tracked firm |
| CORRADO, KENNETH, VINCENT | CHIEF COMPLIANCE OFFICER | 2018-03 | — not seen at a tracked firm |
| PALMER, RONALD | CHIEF FINANCIAL OFFICER | 2018-03 | — not seen at a tracked firm |
| PALMER, RONALD, GEORGE | CHIEF FINANCIAL OFFICER | 2017-04 | — not seen at a tracked firm |
| BREITMAN, MATTHEW, KANE | GENERAL COUNSEL | 2015-03 | — not seen at a tracked firm |
| MEGYESI, JOHN, MICHAEL | CHIEF COMPLIANCE OFFICER | 2012-03 | — 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.
