CIK 1454937
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.
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) |
|---|---|---|---|
| SCHERER, THOMAS, JAMES | CHIEF LEGAL OFFICER, EXECUTIVE VICE PRESIDENT AND ELECTED MANAGER | 2023-11 | — not seen at a tracked firm |
| MAUTINO, JAMES, ANTHONY | CHIEF COMPLIANCE OFFICER | 2023-03 | — not seen at a tracked firm |
| MORRISON, RUSSELL, DANIEL | CHIEF INVESTMENT OFFICER AND EXECUTIVE VICE PRESIDENT · CHIEF INVESTMENT OFFICER | 2022-03 | — not seen at a tracked firm |
| PHELPS, STEPHANIE, MARIE | CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT AND ELECTED MANAGER · EXECUTIVE VICE PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER · EXECUTIVE VICE PRESIDENT, TREASURER, CFO AND INTERIM COO · EXECUTIVE VICE PRESIDENT, TREASURER, CFO AND INTERIM CRO · ELECTED MANAGER, SENIOR VICE PRESIDENT, TREASURER/CFO |
| 2020-11 |
| — not seen at a tracked firm |
| BUESE, KIRK, WILLIAM | CHIEF INVESTMENT OFFICER, EXECUTIVE VICE PRESIDENT AND ELECTED MANAGER · EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER · EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE AND CHIEF INVESTMENT OFFICER · EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE AND INTERIM CHIEF INVESTMENT OFFICER · EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE | 2020-03 | — not seen at a tracked firm |
| WIRTH, RICHARD, JAY | EXECUTIVE VICE PRESIDENT, SECRETARY AND GENERAL COUNSEL · CHIEF LEGAL OFFICER AND SECRETARY · GENERAL COUNSEL AND SECRETARY | 2019-10 | — not seen at a tracked firm |
| Greene, Darlene | EXECUTIVE VICE PRESIDENT AND HEAD OF HUMAN RESOURCES US · HEAD OF HUMAN RESOURCES US | 2019-10 | — not seen at a tracked firm |
| GABLER, CHRISTOPH | AAM EXECUTIVE COMMITTEE MEMBER | 2019-10 | — not seen at a tracked firm |
| COTE, SCOTT | AAM EXECUTIVE COMMITTEE MEMBER | 2019-10 | — not seen at a tracked firm |
| SCHAEFFER, JAMES, K | EXECUTIVE VICE PRESIDENT, DEPUTY CHIEF INVESTMENT OFFICER AND CO-HEAD OF PUBLIC FIXED INCOME · SENIOR VICE PRESIDENT, DEPUTY CHIEF INVESTMENT OFFICER AND CO-HEAD OF PUBLIC FIXED INCOME · EXECUTIVE VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME · SENIOR VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME | 2019-10 | — not seen at a tracked firm |
| Weih, Douglas, Alan | EXECUTIVE VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME | 2019-10 | — not seen at a tracked firm |
| BLACK, GARY, DOUGLAS | PRESIDENT AND INTERIM HEAD OF DISTRIBUTION · PRESIDENT | 2019-04 | Future Fund LLC |
| VETSCH, WERNER, NIKLAUS | EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER · CHIEF OPERATING OFFICER AND SENIOR VICE PRESIDENT · CHIEF OPERATING OFFICER | 2018-03 | — not seen at a tracked firm |
| COUGHLAN, MARTIN, GERARD | EXECUTIVE VICE PRESIDENT AND HEAD OF DISTRIBUTION · HEAD OF DISTRIBUTION | 2018-03 | — not seen at a tracked firm |
| FOX, DANIEL, PAUL | EXECUTIVE VICE PRESIDENT-RISK MANAGEMENT | 2016-08 | — not seen at a tracked firm |
| NEUKRANZ, THOMAS, WARD | SENIOR VICE PRESIDENT-HEAD OF DISTRIBUTION | 2016-07 | — not seen at a tracked firm |
| LEMMENS, PHILIP, ARMAND ALICE | GLOBAL CHIEF RISK OFFICER AAM | 2016-03 | — not seen at a tracked firm |
| RUSSELL, SARAH, ANNE CECIL | GLOBAL CHIEF EXECUTIVE OFFICER AAM | 2016-03 | — not seen at a tracked firm |
| maatman, Alexander, hendrikus | GLOBAL CHIEF FINANCIAL OFFICER AAM | 2016-03 | — not seen at a tracked firm |
| FLEMING, KAREN, HUFNAGEL | SENIOR VICE PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER · SENIOR VICE PRESIDENT · SENIOR VICE PRESIDENT AND COO | 2016-01 | — not seen at a tracked firm |
| SWANK, THOMAS, ANTHONY | ELECTED MANAGER, PRESIDENT | 2015-02 | — not seen at a tracked firm |
| BEMAN, BRADLEY, JAY | ELECTED MANAGER, CHIEF INVESTMENT OFFICER AND EXECUTIVE VICE PRESIDENT | 2014-10 | — not seen at a tracked firm |
| SCHULZE, KATHERINE, ANNE | SECRETARY | 2014-08 | — not seen at a tracked firm |
| BLANKENSHIP, DAVID, LYNN | ELECTED MANAGER, PRESIDENT | 2014-06 | — not seen at a tracked firm |
| MONTZ, RENEE, DENISE | SECRETARY, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER · SECRETARY AND GENERAL COUNSEL | 2014-04 | — not seen at a tracked firm |
| GRIFFIN, JACQUELINE, D | ELECTED MANAGER, EXECUTIVE VICE PRESIDENT - GENERAL ACCOUNT | 2014-01 | — not seen at a tracked firm |
| WALZ, RICHARD, JOHN | CHIEF COMPLIANCE OFFICER | 2013-04 | GABELLI FUNDS LLC |
| LEITCH, TERRY, LEE | EXECUTIVE VICE PRESIDENT - DERIVATIVES | 2013-01 | — 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.
