CIK 1425165
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 2026-03-31). 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 2026-03-31. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| KONG, HARMON, ANSON | SECRETARY, CFO, TREASURER, CHIEF WEALTH MANAGER, DIRECTOR, TRUSTEE OF KONG TRUST | 1998-01 | 50–75% ·◆ |
| DUCOTE, RHONDA, LOUISE | PRESIDENT, CHIEF COMPLIANCE OFFICER, SENIOR WEALTH MANAGER, DIRECTOR, TRUSTEE OF DUCOTE FAMILY TRUST | 2010-01 | 10–25% ·◆ |
| LAU, BENJAMIN, CHIU-FUNG | VICE PRESIDENT, CHIEF INVESTMENT OFFICER, DIRECTOR, TRUSTEE OF LAU FAMILY TRUST | 2010-01 | 10–25% ·◆ |
| OLSON, JENNIFER, NECIR | CHIEF FINANCIAL OFFICER | 2025-01 | <5% ·◆ |
| WHITAKER, CHRISTOPHER, ALAN | CHIEF WEALTH MANAGER | 2025-01 | <5% ·◆ |
| KONG, LEA, THERESA | TRUSTEE OF KONG TRUST | 1998-08 | 50–75% |
| DUCOTE, JAMES, NOLAN | TRUSTEE OF DUCOTE FAMILY TRUST | 2001-08 | 10–25% |
| LAU, WENDY, YOUME | TRUSTEE OF LAU FAMILY TRUST | 2013-08 | 10–25% |
| YOSHIDA, ERICA, MIYEKO | TRUSTEE OF YOSHIDA FAMILY TRUST | 2017-01 | 5–10% |
| YOSHIDA, LANDON, MAKOTO | TRUSTEE OF YOSHIDA FAMILY TRUST | 2017-01 | 5–10% |
| THE KONG TRUST DATED 8-17- 1998entity | SHAREHOLDER | 1998-01 | 50–75% ·◆ |
| DUCOTE FAMILY TRUST DATED 8/28/2001entity | SHAREHOLDER | 2010-01 | 10–25% ·◆ |
| LAU FAMILY TRUST DATED 8/2/13entity | SHAREHOLDER | 2010-01 | 10–25% ·◆ |
| YOSHIDA FAMILY TRUSTentity | SHAREHOLDER | 2017-01 | 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) |
|---|---|---|---|
| LE, TRUC, TRONG | TRUSTEE OF TRUC TRONG LE TRUST · SHAREHOLDER | 2024-03 | — not seen at a tracked firm |
| IWAMOTO, MARK, KEIZO | CO-CHIEF INVESTMENT OFFICER · CO-CHIEF INVESTMENT OFFICER, SHAREHOLDER · PRESIDENT, CEO, CHIEF INVESTMENT OFFICER, DIRECTOR, SHAREHOLDER | 2016-07 | — 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.
