CIK 1376772
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 2026-04-01). 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 2026-04-01. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| JOHNSON, LISA, PATTON | CHIEF COMPLIANCE OFFICER | 2018-03 | <5% ·◆ |
| LEWIS, JOHN, GUNNARD | SENIOR VICE PRESIDENT, DORSEY WRIGHT & ASSOCIATES, LLC | 2020-08 | <5% ·◆ |
| spurling, emily, elisabeth | SENIOR VICE PRESIDENT, NASDAQ | 2022-01 | <5% ·◆ |
| NASDAQ, INC.entity | OWNER | 2015-01 | 25–50% ·◆ |
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) |
|---|---|---|---|
| WADE, TERENCE, ROBERT | SENIOR VICE PRESIDENT | 2023-08 | — not seen at a tracked firm |
| GOCHENOUR, SARA, FRAZIER | EXECUTIVE VICE PRESIDENT · CHIEF COMPLIANCE OFFICER | 2020-06 | Heritage Wealth Advisors, Salomon & Ludwin, LLC |
| GRAGNANI, JAY, MICHAEL | EXECUTIVE VICE PRESIDENT · SENIOR MANAGING DIRECTOR | 2018-03 | — not seen at a tracked firm |
| SANDLER, MICHAEL, ALAN | CHIEF COMPLIANCE OFFICER | 2017-09 | — not seen at a tracked firm |
| DEROSIER, TAMMY, FRIDLEY | PRESIDENT · CHIEF OPERATIONS OFFICER · EXECUTIVE VICE PRESIDENT | 2016-03 | — not seen at a tracked firm |
| FRIEDMAN, ADENA, TESTA | DIRECTOR | 2015-03 | — not seen at a tracked firm |
| SHAVEL, LEE, MICHAEL | DIRECTOR | 2015-03 | — not seen at a tracked firm |
| KNIGHT, EDWARD, STANLEY | DIRECTOR | 2015-03 | — not seen at a tracked firm |
| DORSEY, THOMAS, JOHN | PRESIDENT | 2014-03 | — not seen at a tracked firm |
| MORRISON, SUSAN, LEIGH | CHIEF INVESTMENT OFFICER · SENIOR VICE PRESIDENT | 2014-03 | — not seen at a tracked firm |
| BALL, JAMES, CHURCHILL | CHIEF TECHNOLOGY OFFICER · SENIOR VICE PRESIDENT | 2014-03 | — not seen at a tracked firm |
| MCMAHAN, WILLIAM, EDWIN | DIRECTOR | 2014-03 | — not seen at a tracked firm |
| MCCOLL, HUGH, LEON | DIRECTOR | 2014-03 | — not seen at a tracked firm |
| OKEN, MARC, DENIS | DIRECTOR | 2014-03 | — not seen at a tracked firm |
| TAYLOR, TODD, HOLBROOK | DIRECTOR | 2014-03 | — not seen at a tracked firm |
| FULTON, BENJAMIN, THOMAS | DIRECTOR | 2014-03 | — not seen at a tracked firm |
| BRUCE, MARYANN | DIRECTOR | 2012-03 | — not seen at a tracked firm |
| WRIGHT, WATSON, HOWELL | SEC-TREASURER, CHIEF COMPLIANCE OFFICER | 2011-12 | — 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.
