CIK 1376113
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 2026-03-31). 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 2026-03-31. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| HAGMEYER, ALEXANDER, JOHN LESKOWITZ | CO-CHIEF INVESTMENT OFFICER | 2023-06 | <5% ·◆ |
| HEWITT, ERIC, PENDLETON | CO-CHIEF INVESTMENT OFFICER | 2023-06 | <5% ·◆ |
| NOYES, RICHARD, CRAIG | SENIOR VP, GENERAL COUNSEL | 2018-02 | <5% ·◆ |
| SPAHR, LATON, ANDREW | PRESIDENT, DIRECTOR | 2019-10 | <5% ·◆ |
| SUTULA, MATTHEW, JOSEPH | CHIEF COMPLIANCE OFFICER | 2019-11 | <5% ·◆ |
| ALPS HOLDINGS, INC.entity | PARENT | 2005-09 | 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) |
|---|---|---|---|
| PARMENTIER, WILLIAM, ROBERT | SENIOR VP, CHIEF INVESTMENT OFFICER | 2023-03 | — not seen at a tracked firm |
| SWENSON, BRADLEY, JOHN | EXECUTIVE VP, DIRECTOR · SENIOR VP · SENIOR VP, CHIEF COMPLIANCE OFFICER | 2021-03 | — not seen at a tracked firm |
| SLEIGHTHOLME, MICHAEL, J | PRESIDENT, DIRECTOR | 2019-09 | — not seen at a tracked firm |
| NELSON, ERIN | SENIOR VP, CHIEF COMPLIANCE OFFICER · VP · VP, ASSOCIATE GENERAL COUNSEL · CHIEF LEGAL OFFICER | 2019-06 | — not seen at a tracked firm |
| MAY, JEREMY, OPPEGARD | EXECUTIVE VP, DIRECTOR | 2019-03 | Paralel Advisors LLC |
| BURKE, EDMUND, JOSEPH | DIRECTOR | 2019-03 | — not seen at a tracked firm |
| DURAN, TROY, ANTHONY | SENIOR VP, CHIEF FINANCIAL OFFICER | 2018-04 | — not seen at a tracked firm |
| CARTER, THOMAS, ANTHONY | PRESIDENT, DIRECTOR · PRESIDENT; DIRECTOR | 2017-03 | — not seen at a tracked firm |
| HUNT, AISHA, JAMILA | SENIOR VP, GENERAL COUNSEL, ASSISTANT SECRETARY · SENIOR VP, GENERAL COUNSEL | 2017-03 | — not seen at a tracked firm |
| SZYDLOWSKI, ROBERT, JOSEPH | SENIOR VP, CHIEF TECHNOLOGY OFFICER | 2015-03 | — not seen at a tracked firm |
| TYLER, TANE, THERESE | SENIOR VP, GENERAL COUNSEL, SECRETARY | 2013-03 | — not seen at a tracked firm |
| ADAMS, DIANA, M | SENIOR VP, CONTROLLER & TREASURER | 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.
