CIK 1518320
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2023-Q2. 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 (2023-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) |
|---|---|---|---|
| DIPPEL, LYN, ANN | PRESIDENT/CHIEF COMPLIANCE OFFICER · CHIEF COMPLIANCE OFFICER, VP | 2020-05 | CURIO WEALTH, LLC |
| THOMPSON, MARY, JEANNE | SENIOR ADVISOR · SENIOR FINANCIAL ADVISOR | 2018-05 | — not seen at a tracked firm |
| MARTIN, JOHN, MICHAEL | CHAIRMAN · CHIEF INVESTMENT OFFICER · PRES, CEO, CFO, CLO | 2017-08 | — not seen at a tracked firm |
| NORFOLK, CHAD, JOSEPH | SHAREHOLDER · VP/SECRETARY · VP | 2014-03 | WMS Partners, LLC |
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.
