CIK 1480916
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2024-Q3. 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.
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| EBY, MARTIN, JOSEPH | MEMBER OF BOARD | 1994-05 | <5% ·◆ |
| HILL, JEFFREY, LEIGH | MEMBER OF BOARD | 2018-01 | <5% ·◆ |
| LOPEZ, BRYAN, MICHAEL | CHIEF COMPLIANCE OFFICER, MEMBER OF BOARD | 2019-12 | <5% ·◆ |
| NORFOLK, CHAD, JOSEPH | MEMBER OF BOARD | 2018-01 | <5% ·◆ |
| SPEARGAS, PAUL, A | MEMBER OF BOARD | 2018-01 | <5% ·◆ |
| WICKWIRE, TODD, MICHAEL | MEMBER | 2019-09 | <5% |
| WMS PARTNERS HOLDINGS, LLCentity | MEMBER | 2021-09 | 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 (2025-Q3). 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) |
|---|---|---|---|
| CHASE, TIMOTHY, WILLIAM | CHAIRMAN, MEMBER OF BOARD · CHAIRMAN, MEMBER OF EXECUTIVE COMMITTEE · CHIEF COMPLIANCE OFFICER, CHAIRMAN, MEMBER OF EXECUTIVE COMMITTEE · CHIEF COMPLIANCE OFFICER/CHAIRMAN · CHIEF COMPLIANCE OFFICER/MANAGING PARTNER | 2024-04 | — not seen at a tracked firm |
| CARR, LAURA, MARY | CHIEF OPERATING OFFICER · CHIEF ADVISORY OFFICER | 2024-04 | — not seen at a tracked firm |
| ROWE, JOSHUA, F | CO-CHIEF INVESTMENT OFFICER | 2024-04 | — not seen at a tracked firm |
| Lamari, Paul, David | GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 2023-04 | — not seen at a tracked firm |
| CITRON, DAVID, MARK | PARTNER · PRINCIPAL | 2021-03 | — not seen at a tracked firm |
| KESSENICH, PACE, ROY | PRESIDENT & CEO · PRESIDENT | 2018-11 | — not seen at a tracked firm |
| BERITELA, SAM, A | CHIEF FINANCIAL OFFICER | 2018-03 | — not seen at a tracked firm |
| KILLEBREW, ROBERT, STERLING | PARTNER · PRINCIPAL | 2015-12 | — not seen at a tracked firm |
| VAIN, JEFFREY, BRIAN | CHIEF FINANCIAL OFFICER | 2015-12 | — 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.
