CIK 1470944
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 2026-04-09). 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 2026-04-09. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| SWAN, KENNETH, LESLIE | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | 2009-07 | 10–25% ·◆ |
| GANONG, RICHARD, JOSEPH | MEMBER/BOARD MEMBER | 2022-03 | 5–10% ·◆ |
| TOWER, III, JOSEPH F | MANAGING MEMBER, BOARD MEMBER | 2009-05 | 5–10% ·◆ |
| WEEKS, DAVID, LAWRENCE | MEMBER/BOARD MEMBER | 2022-03 | 5–10% ·◆ |
| DESPOTOPULOS, JOHN, DANIEL | MEMBER, CHIEF OPERATING OFFICER | 2026-04 | <5% ·◆ |
| SELTZER, JASON, ADAM | BOARD MEMBER | 2022-03 | <5% ·◆ |
| ECKNER, ANDREAS | MEMBER | 2022-03 | 5–10% |
| HOREL, GUILLAUME | MEMBER | 2022-03 | 5–10% |
| JAEGER, NAN-MARIE | MEMBER | 2022-03 | 5–10% |
| KUMAR, AJIT | MEMBER | 2022-03 | 5–10% |
| LAYTON, JOHN, RODNEY | MEMBER | 2022-03 | 5–10% |
| TSUI, EDWIN, YU ON | MEMBER | 2022-03 | 5–10% |
| PRICE, EDMUND, H | CHIEF LEGAL OFFICER | 2015-09 | <5% |
| REGAN, BROOKE, A. | CHIEF COMPLIANCE OFFICER | 2026-04 | <5% |
| TEMPERANCE WEALTH PARTNERS LPentity | MEMBER | 2022-03 | 10–25% |
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) |
|---|---|---|---|
| VINGERS, R, TODD | BOARD MEMBER | 2022-01 | — not seen at a tracked firm |
| FRANCOEUR, GREGORY, PAUL | BOARD MEMBER | 2022-01 | — not seen at a tracked firm |
| NUNNELEE, MICHAEL, JOSEPH | BOARD MEMBER | 2022-01 | — not seen at a tracked firm |
| DAVIS, JEFFREY, PARKER | CHIEF INVESTMENT OFFICER | 2019-01 | — not seen at a tracked firm |
| FREEMAN, WILLIAM, JAY | BOARD MEMBER | 2019-01 | — not seen at a tracked firm |
| MUNDER, LEE, PAUL | BOARD MEMBER | 2019-01 | — not seen at a tracked firm |
| SAPPINGTON, BILL, EUGENE | BOARD MEMBER | 2019-01 | — not seen at a tracked firm |
| CAREY, CHRISTOPHER, J. | BOARD MEMBER | 2018-02 | — not seen at a tracked firm |
| GERSHEN, RICHARD, SCOTT | BOARD MEMBER | 2016-11 | — not seen at a tracked firm |
| ADLER, RICHARD, HOWARD | BOARD MEMBER | 2013-04 | — 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.
