CIK 1335851
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 |
|---|---|---|---|
| DAGLEY, WILLIAM, FRANKLIN | PRESIDENT | 2005-02 | 50–75% ·◆ |
| GREENE, FRANK, CHRISTOPHER | CHIEF INVESTMENT OFFICER & SR. PORTFOLIO MANAGER | 2019-12 | 10–25% ·◆ |
| SMITH, KATRINA, ANN | DIRECTOR OF CLIENT SERVICES & OPERATIONS | 2024-03 | 5–10% ·◆ |
| YONGUE, MICHAEL, BENNETT | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | 2022-06 | 5–10% ·◆ |
| SIEBEL, KENNETH, FREDRICK | BOARD MEMBER, CO- CHAIRMAN | 2016-01 | <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) |
|---|---|---|---|
| WONG, DAVID, PETER | CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER | 2022-04 | — not seen at a tracked firm |
| MAIER, PETER, KLAUS | BOARD MEMBER, CO CHAIRMAN · MEMBER | 2021-03 | — not seen at a tracked firm |
| CORNELL, NATHANIEL, THOMAS | MEMBER | 2019-09 | Blue Water Life Science Advisors, LP |
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.
