CIK 1423442
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 2025-12-16). 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 2025-12-16. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| AMOROSO III, RAYMOND, NMN | CHIEF COMPLIANCE OFFICER/PRINCIPAL | 2008-01 | <5% ·◆ |
| BARTONE, SCOTT, MICHAEL | CHIEF PRODUCT OFFICER/CO-HEAD OF INVESTMENT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | 2013-07 | <5% ·◆ |
| BERGGREN, BRADLEY, SCOTT | CO-CIO OF CANVAS MANAGED OPTIONS STRATEGIES/PORTFOLIO MANAGER/PRINCIPAL | 2025-12 | <5% ·◆ |
| FOLEY, ERIN, MARIE | DIRECTOR OF TRADING/PRINCIPAL | 2007-09 | <5% ·◆ |
| GUPTA, RAJAT, NMN | CHIEF TECHNOLOGY OFFICER/PRINCIPAL | 2022-06 | <5% ·◆ |
| LOVELESS, CHRISTOPHER, STRATTON | PRESIDENT/PRINCIPAL | 2007-07 | <5% ·◆ |
| O'SHAUGHNESSY, PATRICK, WALKER | CHAIRMAN EMERITUS | 2013-07 | <5% ·◆ |
| ORSECK, JONATHAN | CO-CIO OF CANVAS MANAGED OPTIONS STRATEGIES/PORTFOLIO MANAGER/PRINCIPAL | 2025-12 | <5% ·◆ |
| PARADISO, ROGER, NMN | EXECUTIVE CHAIRMAN/PRINCIPAL | 2022-06 | <5% ·◆ |
| ROSENBAUM, ARI, MARK | DIRECTOR OF PRIVATE WEALTH SOLUTIONS/PRINCIPAL | 2007-07 | <5% ·◆ |
| SMITH, KRISTOPHER, RYAN | CHIEF OPERATING OFFICER/PRINCIPAL | 2022-06 | <5% ·◆ |
| SPENCE, CLAUDINE, ANTOINETTE | DIRECTOR OF CLIENT SERVICE/PRINCIPAL | 2017-01 | <5% ·◆ |
| STANHOPE, EHREN, JONATHAN | CHIEF INVESTMENT STRATEGIST/CO-HEAD OF INVESTMENT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | 2015-01 | <5% ·◆ |
| FRANKLIN RESOURCES, INC.entity | MANAGING MEMBER | 2021-12 | 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 (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) |
|---|---|---|---|
| MEREDITH, CHRISTOPHER, IRA | CHIEF INVESTMENT OFFICER/PORTFOLIO MANAGER/PRINCIPAL · CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/PRINCIPAL · CO-CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/PRINCIPAL · CO-CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/MEMBER · PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/MEMBER · SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/MEMBER · SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH & PORTFOLIO MANAGEMENT/MEMBER | 2024-01 | — not seen at a tracked firm |
| O'SHAUGHNESSY, JAMES, PATRICK | CHAIRMAN, CO-CIO, PORTFOLIO MANAGER, PRINCIPAL · CHAIRMAN, CO-CIO, PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER · CHAIRMAN, CIO, PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER · CEO, CIO, CHAIRMAN, LEAD PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | 2022-12 | — not seen at a tracked firm |
| SHI, XIUYUN, NMN | DIRECTOR OF FINANCE/PRINCIPAL · DIRECTOR OF FINANCE/MEMBER | 2022-12 | — not seen at a tracked firm |
| DESSALINES, JOSEPH, EMMANUEL | DIRECTOR OF TECHNOLOGY/PRINCIPAL · DIRECTOR OF TECHNOLOGY/MEMBER | 2022-05 | — not seen at a tracked firm |
| FAIRCHILD, TRAVIS, BRENT | PORTFOLIO MANAGER/MEMBER | 2021-03 | — not seen at a tracked firm |
| FITZGERALD, FRANCIS, DANIEL | COO/MEMBER · DIRECTOR OF TECHNOLOGY/MEMBER | 2016-11 | — not seen at a tracked firm |
| VISWANATHAN, ASHVIN | MEMBER · PORTFOLIO MANAGER/MEMBER | 2016-11 | — not seen at a tracked firm |
| LOOMIS, SCOTT, EDWARD | CHIEF FINANCIAL OFFICER/MEMBER · DIRECTOR OF FINANCE/MEMBER | 2015-03 | — not seen at a tracked firm |
| HAHNCOLBERT, SANDRA, MARLENE | DIRECTOR OF PERFORMANCE, RISK ANALYTICS & OPERATIONS/MEMBER · DIRECTOR OF PERFORMANCE, RISK & OPERATIONS/MEMBER | 2014-03 | — 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.
