CIK 1365167
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 |
|---|---|---|---|
| Dickson, Robert, John | CHIEF FINANCIAL OFFICER | 2024-01 | <5% ·◆ |
| FORD, WILLIAM, DONALD | PRESIDENT & DIRECTOR OF INSTITUTIONAL ASSET MANAGEMENT | 2023-08 | <5% ·◆ |
| MEINTEL, ALEX, CHARLES | MANAGING DIRECTOR, PRIVATE CLIENT GROUP | 2025-09 | <5% ·◆ |
| SAURBORN, MARC, DAVID | CEO & CHIEF INVESTMENT OFFICER | 2023-08 | <5% ·◆ |
| SWHEAR, JOHN, CARL | CHIEF COMPLIANCE OFFICER | 2020-07 | <5% ·◆ |
| DIVIDEND ASSETS CAPITAL HOLDINGS, INC. EMPLOYEE STOCK OWNERSHIP PLANentity | EMPLOYEE STOCK OWNERSHIP PLAN | 2014-10 | 75%+ |
| TRUSTEE |
| 2021-10 |
| 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) |
|---|---|---|---|
| SHAVER, CHARLES, TROY | CHAIRMAN EMERITUS · CEO, CIO AND SENIOR PORTFOLIO MANAGER · CEO AND SENIOR PORTFOLIO MANAGER · PRESIDENT, CEO | 2024-03 | — not seen at a tracked firm |
| HALEY, JAMES, GLENN | CEO & DIRECTOR OF CLIENT PRIVATE GROUP | 2024-03 | — not seen at a tracked firm |
| LIVINGSTON, TROY, EUGENE | FINANCIAL OFFICER · CHIEF FINANCIAL OFFICER | 2024-01 | — not seen at a tracked firm |
| GHOSTON, ANTHONY, JEROME | PRESIDENT / CHIEF OPERATING OFFICER /CHIEF COMPLIANCE OFFICER · PRESIDENT, CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER · PRESIDENT AND CHIEF OPERATING OFFICER · PRESIDENT, CHIEF COMPLIANCE OFFICER, AND CHIEF OPERATING OFFICER · CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | 2020-06 | — not seen at a tracked firm |
| OTTOSEN, JENNIFER, ANN | CHIEF COMPLIANCE OFFICER | 2019-03 | PRIMECAP MANAGEMENT CO/CA/ |
| NIX, MICHAEL, WAYNE | MANAGING DIRECTOR, INSTITUTIONAL ASSETS MANAGER · MANAGING DIRECTOR OF INVESTMENT STRATEGY AND PORTFOLIO MANAGER | 2016-05 | — not seen at a tracked firm |
| ESTES, JERE, EDWARD | ECONOMIST AND PORTFOLIO MANAGER · CHIEF INVESTMENT OFFICER, SENIOR PORTFOLIO MANAGER · CHIEF INVESTMENT OFFICER, DIRECTOR OF RESEARCH, SENIOR PORTFOLIO MANAGER | 2016-05 | — not seen at a tracked firm |
| TROSDAL, EINAR, STORM | MANAGING DIRECTOR AND SENIOR PORTFOLIO MANAGER · MANAGING DIRECTOR OF PORTFOLIO STRATEGY AND SENIOR PORTFOLIO MANAGER · MANAGING DIRECTOR-CUSTOMER SERVICE MARKETING | 2016-05 | — not seen at a tracked firm |
| OBUCHOWSKI, EDWARD, JOHN | CHIEF FINANCIAL OFFICER | 2016-05 | — not seen at a tracked firm |
| LAMB, DEBORAH, ANNE | CCO AND OFFICER · CHIEF COMPLIANCE OFFICER | 2016-03 | MCKINLEY CAPITAL MANAGEMENT LLC |
| CAMERON, THOMAS, WILLIAM LANE | CHAIRMAN | 2014-10 | — not seen at a tracked firm |
| ALLIN, WILLAM, BAILEY | MANAGING DIRECTOR-FIXED INCOME | 2014-10 | — 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.
