CIK 1528214
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 2026-06-15). 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 2026-06-15. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| CRAWFORD, BERG, ASHTON | CHIEF ACCOUNTING OFFICER | 2026-04 | <5% ·◆ |
| Culver, Rory, Price | CHIEF COMPLIANCE OFFICER | 2026-06 | <5% ·◆ |
| FALCONER, PETER, JOHN | ASSISTANT SECRETARY | 2026-04 | <5% ·◆ |
| LACY, KARLENE, J | GLOBAL HEAD OF TAX | 2026-04 | <5% ·◆ |
| ROSENBERG, MICHELLE, ROSE | GENERAL COUNSEL & SECRETARY | 2026-04 | <5% ·◆ |
| SABA, STEVEN, RICHARD | DIRECTOR, CORPORATE ACCOUNTING | 2026-04 | <5% ·◆ |
| Schweitzer, Michael, Alan | HEAD OF NORTH AMERICA CLIENT GROUP | 2026-04 | <5% ·◆ |
| Trinks, Gregory, R | HEAD OF US PRODUCT | 2026-04 | <5% ·◆ |
| JANUS HENDERSON US ( HOLDINGS) INC.entity | MANAGING MEMBER | 2026-04 | 50–75% ·◆ |
| IM SQUARE HOLDING 7 LLCentity | MEMBER | 2021-07 | 25–50% ·◆ |
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) |
|---|---|---|---|
| BERNSTEIN, RICHARD, NMN | CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, BOARD MEMBER AND MEMBER · CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER AND MANAGING MEMBER | 2024-09 | — not seen at a tracked firm |
| MEYER, MICHAEL, HARRIS | CHIEF COMPLIANCE OFFICER | 2024-09 | — not seen at a tracked firm |
| REAGAN, JOHN, RAYMOND | CHIEF TECHNOLOGY OFFICER | 2024-09 | — not seen at a tracked firm |
| MCCOMBE, JOHN, JOSEPH | PRESIDENT, DIRECTOR OF DISTRIBUTION AND BOARD MEMBER · PRESIDENT AND DIRECTOR OF DISTRIBUTION · PRESIDENT AND DIRECTOR OF SALES & MARKETING | 2024-09 | — not seen at a tracked firm |
| TARBEL, BARBARA | CHIEF FINANCIAL OFFICER AND BOARD MEMBER · CHIEF FINANCIAL OFFICER | 2024-09 | — not seen at a tracked firm |
| GOLDFARB, PHILIP, STEPHEN | DIRECTOR OF TRADING | 2024-09 | — not seen at a tracked firm |
| SUZUKI, DAN, JAMES | DEPUTY CHIEF INVESTMENT OFFICER & CHAIRMAN OF THE INVESTMENT COMMITTEE · DEPUTY CHIEF INVESTMENT OFFICER | 2024-09 | — not seen at a tracked firm |
| KIRSCHNER, LISA | DIRECTOR OF RESEARCH | 2024-09 | — not seen at a tracked firm |
| GRISWOLD, FRANK, MATTHEW | DIRECTOR OF INVESTMENTS AND RISK MANAGEMENT · DIRECTOR OF INVESTMENTS | 2024-09 | — not seen at a tracked firm |
| SIMON, CHARLES, ROY | DIRECTOR OF TRADING | 2014-03 | — not seen at a tracked firm |
| MARRA, VINCENT, MICHAEL | CHIEF FINANCIAL OFFICER | 2012-02 | — 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.
