CIK 1488921
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 2026-03-13). 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 2026-03-13. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| JALENAK, E, CHARLES | DIRECTOR | 2025-01 | 10–25% ·◆ |
| MILLER, DUNCAN, L | PRESIDENT & CEO | 2022-01 | 10–25% ·◆ |
| MAZZOLA, LINDSEY, BELL | DIRECTOR OF CLIENT OPERATIONS | 2012-05 | 5–10% ·◆ |
| PEYTON, HALLIE, L | DIRECTOR | 2025-01 | 5–10% ·◆ |
| RAWLINSON, REBECCA, JEANNE | DIRECTOR OF CLIENT SERVICE | 2025-01 | 5–10% ·◆ |
| SIEVERS, ROBIN, KEITH | MANAGING DIRECTOR | 2025-01 | 5–10% ·◆ |
| VOSBURG, ALAN, EDWARD | IT MANAGER | 2013-01 | 5–10% ·◆ |
| Epperly, Lawrence, James | DIRECTOR OF CLIENT SERVICE | 2025-01 | <5% ·◆ |
| SIMMONS, CATHY, ANN | CHIEF COMPLIANCE OFFICER | 2007-04 | <5% ·◆ |
| SOWELL, NICHOLAS, GLENN | DIRECTOR OF FINANCIAL PLANNING | 2021-10 | <5% ·◆ |
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) |
|---|---|---|---|
| ISAACS, JAMES, J. | CHAIRMAN · CEO & PRESIDENT | 2024-03 | — not seen at a tracked firm |
| DAVES, HOWARD, CLIFTON | CONTROLLER | 2023-03 | — not seen at a tracked firm |
| OVERCAST, WILLIAM, COIL | DIRECTOR OF FINANCIAL PLANNING | 2019-03 | — not seen at a tracked firm |
| HOLDSWORTH, STEVEN, ALLEN | DIRECTOR OF FINANCIAL PLANNING · MANAGING DIRECTOR | 2014-03 | — not seen at a tracked firm |
| TRIMM, ROBERT | CHIEF INVESTMENT OFFICER | 2014-03 | — not seen at a tracked firm |
| UELEKE, JOHN, W. | CHAIRMAN & FOUNDER | 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.
