CIK 1385864
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2022-Q2. 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 |
|---|---|---|---|
| AGARWAL, ANJALI | CHIEF FINANCIAL OFFICER | 2020-11 | <5% ·◆ |
| BACHTOLD, PAUL, AXTELL | CHIEF COMPLIANCE OFFICER | 2015-06 | <5% ·◆ |
| BAYAZITOGLU, KRISTEN, LINDSAY | CHIEF OPERATING OFFICER | 2017-07 | <5% ·◆ |
| ENSZER, WILLIAM, KANE | CHIEF EXECUTIVE OFFICER | 2020-09 | <5% ·◆ |
| DANIEL, DAWNA, LYNNE | SECRETARY | 2016-11 | <5% |
| SALIENT PARTNERS, L.P.entity | MEMBER | 2015-06 | 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 (2022-Q4). 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) |
|---|---|---|---|
| REID, GREGORY, ALLEN | PRESIDENT | 2022-04 | — not seen at a tracked firm |
| LINTON, DAVID, ONTHANK | EXECUTIVE VICE PRESIDENT - HEAD OF DISTRIBUTION | 2022-04 | BROADMARK ASSET MANAGEMENT LLC |
| DUSENBERRY, THOMAS, ALLEN | SENIOR VICE PRESIDENT - FUND ACCOUNTING · DIRECTOR OF FUND OPERATIONS | 2022-03 | — not seen at a tracked firm |
| CHEN, YAN | DIRECTOR, FUND ACCOUNTING · MANAGER, FUND ACCOUNTING | 2021-10 | — not seen at a tracked firm |
| HIBBETTS, MATTHEW, SCOTT | CHIEF FINANCIAL OFFICER AND TREASURER | 2020-10 | — not seen at a tracked firm |
| FERGUSON, JOHN, PHILIP | INTERIM CHAIRMAN AND INTERIM CHIEF EXECUTIVE OFFICER | 2020-07 | — not seen at a tracked firm |
| BLAISDELL, JOHN, ARTHUR | CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 2019-10 | — not seen at a tracked firm |
| DEPRIEST, JONATHAN, WADE | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | 2019-03 | — not seen at a tracked firm |
| GUINN, WILLIAM, RUSSELL | EXECUTIVE VICE PRESIDENT - ASSET MANAGEMENT | 2018-09 | — not seen at a tracked firm |
| RADCLIFFE, JEREMY, LAWRENCE | PRESIDENT AND CHIEF STRATEGY OFFICER · PRESIDENT AND SECRETARY | 2018-06 | — not seen at a tracked firm |
| PRICE, JOHN, EDWARD | CHIEF FINANCIAL OFFICER AND TREASURER | 2018-06 | — not seen at a tracked firm |
| HUNT, WILLIAM, BEN | CHIEF INVESTMENT STRATEGIST | 2018-06 | — not seen at a tracked firm |
| LAU, AMY, HONG | DIRECTOR OF FUND OPERATIONS AND FUND ACCOUNTING | 2018-03 | — not seen at a tracked firm |
| LEONHARDT, STEPHEN, WILLIAM | SENIOR VICE PRESIDENT, FUND ACCOUNTING | 2018-03 | — not seen at a tracked firm |
| NAKA, ROBERT, SHIGEO | CHIEF OPERATING OFFICER, INTERIM CHIEF EXECUTIVE OFFICER · CHIEF OPERATING OFFICER | 2017-05 | — not seen at a tracked firm |
| PARTRIDGE, LEE, GEORGE | CHIEF INVESTMENT OFFICER | 2016-07 | — not seen at a tracked firm |
| ROSENBERG, JUDITH, MARILYN | CHIEF COMPLIANCE OFFICER, SECRETARY · CHIEF COMPLIANCE OFFICER | 2015-04 | — not seen at a tracked firm |
| PREZANT, WILLIAM | DIRECTOR | 2015-04 | — not seen at a tracked firm |
| WOODHOUSE, THOMAS | DIRECTOR | 2015-04 | — not seen at a tracked firm |
| GETTY, GORDON, PETER | MEMBER | 2015-04 | — not seen at a tracked firm |
| HALLIGAN, JAMES, JOSEPH | DIRECTOR | 2015-04 | — not seen at a tracked firm |
| ROSENBLATT, TOBY | DIRECTOR | 2015-04 | — not seen at a tracked firm |
| ODONNELL, JAMES, HUGH | CHIEF INVESTMENT OFFICER | 2015-04 | — not seen at a tracked firm |
| CHOW, DAVID, HUAIMING | DIRECTOR | 2015-04 | — not seen at a tracked firm |
| MAINS, NORMAN, ELLSWORTH | CHIEF ADMINISTRATIVE & RISK OFFICER · CHIEF RISK OFFICER | 2015-04 | — not seen at a tracked firm |
| WHITE, LOIRE, LEE | INTERIM CHIEF FINANCIAL OFFICER · CONTROLLER | 2015-04 | — not seen at a tracked firm |
| LEBERMAN, ROBERT, LEO | DIRECTOR | 2015-04 | — not seen at a tracked firm |
| REID, JEROME, ALAN | CHIEF EXECUTIVE OFFICER, DIRECTOR | 2015-03 | — not seen at a tracked firm |
| CURRAN, MARY, ELLEN | CHIEF LEGAL OFFICER, SECRETARY | 2012-03 | — not seen at a tracked firm |
| SEIGERMAN, ALAN, ARTHUR | CHIEF FINANCIAL OFFICER | 2012-03 | — 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.
