CIK 1344551
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 2026-05-18). 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 2026-05-18. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| ANGUS, TED, FYKE | GENERAL COUNSEL | 2010-12 | <5% ·◆ |
| AUDITYA, GAURAV | EVP, HEAD OF CLIENT OPERATIONS | 2026-05 | <5% ·◆ |
| HANSEN, CARRIE, ELLEN | CHIEF OPERATING OFFICER & DIRECTOR | 2008-07 | <5% ·◆ |
| KIM, HYUN, MICHAEL | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF CLIENT OFFICER & DIRECTOR | 2023-09 | <5% ·◆ |
| KOVAL, JOHN, HENRY | CHIEF COMPLIANCE OFFICER | 2025-05 | <5% ·◆ |
| MAIURI, LOU | CHAIRPERSON OF THE BOARD & DIRECTOR | 2024-09 | <5% ·◆ |
| MCNATT, JOEL, DAVID | CHIEF WEALTH SOLUTIONS OFFICER | 2021-05 | <5% ·◆ |
| ZYLA, GARY, G. | CHIEF FINANCIAL OFFICER & DIRECTOR | 2010-12 | <5% ·◆ |
| ASSETMARK FINANCIAL HOLDINGS, INC.entity | OWNER | 2022-01 | 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) |
|---|---|---|---|
| BLUE, CLAIRE, GOLVEO | CHIEF COMPLIANCE OFFICER · INTERIM CHIEF COMPLIANCE OFFICER | 2024-12 | — not seen at a tracked firm |
| MEHTA, MUKESH, KANTILAL | CHIEF INFORMATION OFFICER | 2024-12 | — not seen at a tracked firm |
| WOLFSEN, NATALIE, GRACE | CHIEF EXECUTIVE OFFICER & DIRECTOR · CHIEF COMMERCIALIZATION OFFICER | 2023-07 | Orion Portfolio Solutions, LLC, TOWNSQUARE CAPITAL LLC |
| CHAFKIN, JEREMIAH, HARRISON | CHIEF INVESTMENT OFFICER | 2021-03 | — not seen at a tracked firm |
| GOLDMAN, CHARLES, GEORGE | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 2021-01 | — not seen at a tracked firm |
| BATTAGLIA, JOHN, SALVATORE | PRESIDENT OF ARIS | 2016-06 | — not seen at a tracked firm |
| CORDES, RONALD, DENNIS | SENIOR VICE PRESIDENT, EXECUTIVE CO-CHAIRMAN · CO-CHAIRMAN & DIRECTOR | 2015-01 | — not seen at a tracked firm |
| STEINY, RICHARD, EDWARD | SENIOR VICE PRESIDENT, EXECUTIVE CO-CHAIRMAN · CO-CHAIRMAN & DIRECTOR | 2015-01 | — not seen at a tracked firm |
| ABELSON, MICHAEL, JOEL | SENIOR VICE PRESIDENT - INVESTMENTS AND PRODUCT MANAGEMENT · SENIOR VICE PRESIDENT - BUSINESS DEVELOPMENT | 2015-01 | — not seen at a tracked firm |
| CATAUDELLA, JESSICA, RAE | CHIEF COMPLIANCE OFFICER | 2014-01 | — not seen at a tracked firm |
| AHLUWALIA, GURINDER, SINGH | PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR | 2013-11 | — not seen at a tracked firm |
| CORBIN, AMY, RENEE | DIRECTOR | 2013-08 | — not seen at a tracked firm |
| VASQUEZ, ENRIQUE, MARTIN | DIRECTOR | 2012-01 | — not seen at a tracked firm |
| WALKER, KEVIN, EDUARD | DIRECTOR | 2012-01 | — 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.
