CIK 1257391
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 2026-03-25). 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 2026-03-25. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| MERCER, JACOB, PAUL | PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING | 2017-01 | 10–25% ·◆ |
| ROOS, PAUL, MANUEL | PARTNER, HEAD OF STRUCTURED CREDIT | 2021-06 | 5–10% ·◆ |
| STUKAS, NICKOLAS, ARTHUR | PARTNER, HEAD OF CREDIT RELATIVE VALUE | 2022-05 | 5–10% ·◆ |
| CONRAD, LISA, RAGGI | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 2021-04 | <5% ·◆ |
| KARIM, MUQUARRAB, BIN | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | 2020-07 | <5% ·◆ |
| LUTZ, BRIAN, GERALD | PARTNER, HEAD OF CONVERTIBLE ARBITRAGE | 2022-05 | <5% ·◆ |
| VOGEL, ROBERT, JACOB | PARTNER, CHIEF INVESTMENT OFFICER | 2004-01 | <5% ·◆ |
| WHITEBOX ADVISORS LLCentity | MANAGING MEMBER | 2012-07 | 75%+ ·◆ |
| SKAGDAY, INC.entity | MEMBER OF WHITEBOX ADVISORS LLC | 2015-08 | 50–75% ·◆ |
| WHITEBOX ADVISORS UK HOLDINGS LTDentity | MEMBER | 2024-12 | 5–10% |
| BLUE OWL GP STAKES II (A) LPentity | NON-VOTING MEMBER OF WHITEBOX ADVISORS LLC | 2015-08 | <5% |
| BLUE OWL GP STAKES II (B) LPentity | NON-VOTING MEMBER OF WHITEBOX GENERAL PARTNER LLC | 2015-08 | <5% |
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) |
|---|---|---|---|
| LOFTON, BRIAN, JOSEPH | CHIEF RISK OFFICER | 2024-12 | — not seen at a tracked firm |
| WAXLEY, SIMON, ANDREW | PARTNER, HEAD OF EQUITY ARBITRAGE | 2024-05 | — not seen at a tracked firm |
| RIEPE, ROBERT, JOHN | CHIEF FINANCIAL OFFICER | 2022-06 | — not seen at a tracked firm |
| TWITCHELL, PAUL, STEPHEN | PARTNER · PARTNER & CO-CHIEF INVESTMENT OFFICER · HEAD OF NON-CORPORATE CREDIT AND MACRO · HEAD OF EVENT · GLOBAL HEAD OF EVENT STRATEGIES | 2021-08 | — not seen at a tracked firm |
| HARDY, CHRISTOPHER, RIDGELY | CHIEF COMPLIANCE OFFICER | 2021-03 | — not seen at a tracked firm |
| STREFLING, MARK, MCLYNN | PARTNER, CHIEF EXECUTIVE OFFICER & CHIEF LEGAL OFFICER · PARTNER, CHIEF EXECUTIVE OFFICER & GENERAL COUNSEL · PARTNER, CHIEF OPERATING OFFICER & GENERAL COUNSEL · GENERAL COUNSEL/CHIEF OPERATING OFFICER · GENERAL COUNSEL/CHIEF LEGAL OFFICER · CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER · CHIEF LEGAL OFFICER | 2020-08 | GoalVest Advisory LLC |
| REDLEAF, ANDREW, JAY | FOUNDING PARTNER · CHIEF INVESTMENT OFFICER/CHIEF EXECUTIVE OFFICER · CHIEF EXECUTIVE OFFICER | 2019-08 | — not seen at a tracked firm |
| WEDDLE, ELISSA, RAE | CHIEF LEGAL OFFICER · ASSOCIATE GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER · CHIEF COMPLIANCE OFFICER | 2019-06 | — not seen at a tracked firm |
| MCCORMICK, MICHAEL, PETER | CHIEF OPERATING OFFICER · CHIEF FINANCIAL OFFICER | 2018-03 | — not seen at a tracked firm |
| CROSS, JASON, EARLE | HEAD OF EQUITY · GLOBAL HEAD OF EQUITY STRATEGIES | 2015-10 | — not seen at a tracked firm |
| MORTON, BLAISE, GRAYSON | CHIEF RISK OFFICER | 2014-04 | — not seen at a tracked firm |
| WOOD, JONATHAN, DAVID | PRESIDENT · PRESIDENT/CHIEF OPERATING OFFICER · CHIEF OPERATING OFFICER · CHIEF OPERATING OFFICER / CHIEF FINANCIAL OFFICER | 2013-07 | — not seen at a tracked firm |
| SEMM, CLINTON, BRADLEY | CHIEF FINANCIAL OFFICER | 2013-07 | — not seen at a tracked firm |
| WIETECKI, MICHAEL, JOHN | CHIEF COMPLIANCE OFFICER | 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.
