CIK 1308778
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 |
|---|---|---|---|
| BALL, ERIC, MICHAEL | MANAGING DIRECTOR | 2025-01 | <5% ·◆ |
| DUNAWAY, BARRY, WARD | MANAGING DIRECTOR, DIRECTOR OF RESEARCH | 2006-07 | <5% ·◆ |
| HOLLOWAY, MATTHEW, JAMES | CHIEF EXECUTIVE OFFICER, CHIEF INFORMATION SECURITY OFFICER, AND FINANCIAL PLANNER | 2025-01 | <5% ·◆ |
| BYRNE, AMY, LYNN | CLIENT CARE OFFICER | 2019-04 | <5% |
| Holloway, Andrew, Joel | CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER | 2024-03 | <5% |
| WIESE, KATERINA, MEDELSKA | FINANCIAL PLANNER, VICE PRESIDENT | 2019-02 | <5% |
| AFIA HOLDINGS LLCentity | 100% MEMBER |
| 2014-10 |
| 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) |
|---|---|---|---|
| GUTHRIE, DAVID, ALLEN | VICE PRESIDENT · PRESIDENT, DIRECTOR OF CLIENT DEVELOPMENT · PRESIDENT | 2024-12 | — 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.
