CIK 1386935
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2025-Q3. 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 2026-06-08). 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 2026-06-08. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| BATES, MICHAEL, LINDSAY | CCO / GENERAL COUNSEL | 2023-02 | <5% ·◆ |
| Blount, Jason, Robert | CFO | 2023-03 | <5% ·◆ |
| MAYES, ROBERT, CARL | CHIEF EXECUTIVE OFFICER | 2003-07 | <5% ·◆ |
| MINTON, EDWARD, LYLE | CHIEF INVESTMENT OFFICER | 2015-01 | <5% ·◆ |
| PARKS, DAVID, MELVILLE | EXECUTIVE CHAIRMAN | 2015-01 | <5% ·◆ |
| PERRY, JAMES, MICHAEL | PRESIDENT | 2014-12 | <5% ·◆ |
| KEEL POINT PARTNERS, LLCentity | SOLE MEMBER | 2014-12 | 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 (2025-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) |
|---|---|---|---|
| Stephens, Sandra, Hudson | CHIEF FINANCIAL OFFICER | 2023-09 | — not seen at a tracked firm |
| PAYNE, CHRISTOPHER, LEE | INTERIM CHIEF COMPLIANCE OFFICER | 2023-01 | Wellington Wealth Strategies, LLC., RETIREMENT FINANCIAL SOLUTIONS, LLC, Wealth Intelligence, LLC, Third View Private Wealth, LLC |
| WARD, CLINTON, LOUIS | CHIEF COMPLIANCE OFFICER | 2022-07 | — not seen at a tracked firm |
| SWENDIMAN, MATTHEW, ASHLEY | CHIEF COMPLIANCE OFFICER | 2020-08 | Crew Capital Management, Ltd, DEFINED WEALTH MANAGEMENT, LLC, ELEVATUS WELATH MANAGEMENT |
| KEY, KIMBERLY, RUTH | CHIEF COMPLIANCE OFFICER | 2020-06 | CWA Asset Management Group, LLC |
| SCOGGINS, WILLIAM, BONHAM | CHIEF OPERATIONS OFFICER | 2018-05 | — not seen at a tracked firm |
| BAGWELL, ALAN, LEE | CHIEF COMPLIANCE OFFICER · CHIEF OPERATING OFFICER · CHIEF FINANCIAL OFFICER | 2017-09 | — not seen at a tracked firm |
| SKANCKE, STEVEN, LYNN | CHIEF INVESTMENT STRATEGIST · CO-CHIEF INVESTMENT OFFICER | 2017-09 | — not seen at a tracked firm |
| YEA, KUN | CHIEF FINANCIAL OFFICER | 2015-11 | — not seen at a tracked firm |
| COOK, CHRISTOPHER, JOSEPH | CHIEF COMPLIANCE OFFICER | 2015-10 | — not seen at a tracked firm |
| BROOKS, ROBERT, EDWIN | MEMBER | 2015-01 | — not seen at a tracked firm |
| MCMILLIAN, LONNIE | MEMBER | 2015-01 | — 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.
