CIK 1389426
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 2026-03-03). 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 2026-03-03. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| O'NEILL, DANIEL, DILLON | MEMBER | 2019-02 | <5% ·◆ |
| YONES, DOUGLAS, MICHAEL | CHIEF EXECUTIVE OFFICER | 2024-11 | <5% ·◆ |
| BRICKL, ANGELA, MARY | CHIEF OPERATING OFFICER, GENERAL COUNSEL | 2022-09 | <5% |
| RUDNICK, PATRICK, JAMES | CHIEF FINANCIAL OFFICER | 2010-05 | <5% |
| STELMACHOWSKI, STEVEN, GREGORY | CHIEF COMPLIANCE OFFICER | 2022-09 | <5% |
| RAFFERTY HOLDINGS LLCentity | MEMBER | 1999-01 | 25–50% ·◆ |
| MINAKIAN PARTNERS, LLCentity | MEMBER | 2009-05 | 25–50% |
| GST FBO KATHLEEN RAFFERTY HAY & HEIRSentity | MEMBER | 2019-01 | 5–10% |
| GST FBO MICHAEL RAFFERTY & HEIRSentity | MEMBER | 2019-01 | 5–10% |
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) |
|---|---|---|---|
| NESTOR, ROBERT, DAMIAN | PRESIDENT | 2021-10 | — not seen at a tracked firm |
| RAFFERTY, LAWRENCE, COLIN | CHAIRMAN · CEO, CHAIRMAN | 2019-03 | — not seen at a tracked firm |
| FALKEIS, ERIC, WALTER | CHIEF OPERATING OFFICER | 2018-03 | Tidal Investments LLC |
| JACOBS, BRIAN | PRESIDENT | 2015-03 | — not seen at a tracked firm |
| FRIZE, BERNARD | CHIEF COMPLIANCE OFFICER | 2012-07 | — 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.
