CIK 1457320
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 2026-02-11). 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 2026-02-11. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| STEVENS, JAMES, GARRETT | CHIEF BUSINESS OFFICER | 2025-09 | 5–10% ·◆ |
| HOGAN, RICHARD, ROBERT | OFFICER | 2011-07 | <5% ·◆ |
| LOWENFELS, DENNIS, PAUL | CHIEF COMPLIANCE OFFICER | 2018-05 | <5% ·◆ |
| MALINOWSKI, RICHARD | CO- CHIEF EXECUTIVE OFFICER AND GENERAL COUNSEL | 2025-09 | <5% ·◆ |
| SEROWIK, ANDREW, PAUL | CO-CHIEF EXECUTIVE OFFICER AND PORTFOLIO MANAGER | 2025-09 | <5% ·◆ |
| Taylor, Randal, Kyle | CHIEF FINANCIAL OFFICER | 2023-04 | <5% ·◆ |
| COTTONWOOD ETF HOLDINGS, LLCentity | MEMBER | 2011-07 | 50–75% ·◆ |
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) |
|---|---|---|---|
| BAKER, JAMES, JOHNSTON | OFFICER | 2023-04 | — not seen at a tracked firm |
| Mills, David, Wesley | CHIEF FINANCIAL OFFICER | 2023-03 | — not seen at a tracked firm |
| GRIFFITH, ROBERT, LAW | GENERAL COUNSEL | 2022-03 | — not seen at a tracked firm |
| BERTUMEN, ABIGAIL, LYNN | GENERAL COUNSEL · CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL | 2021-06 | — not seen at a tracked firm |
| BOYLAN, WADE, CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2017-03 | — not seen at a tracked firm |
| GARIE, ALYSSA, ANN | CHIEF COMPLIANCE OFFICER | 2016-05 | — not seen at a tracked firm |
| WOODARD, MICHAEL, EVERETT | CHIEF COMPLIANCE OFFICER | 2015-06 | — not seen at a tracked firm |
| SCHURINGA, DARREN, R. | MEMBER · TREASURER | 2014-11 | — not seen at a tracked firm |
| DZIURA, MARTIN, W | CHIEF COMPLIANCE OFFICER | 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.
