CIK 1536029
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 2026-03-26). 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 2026-03-26. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| RATHKA, RAYMOND, AUGUST | TRUSTEE | 1986-08 | 10–25% ·◆ |
| KATYNSKI, JULIE, ANN | CHIEF FINANCIAL OFFICER | 2004-10 | <5% ·◆ |
| KLEBER, ROBERT, LAWRENCE | TRUSTEE | 2020-10 | <5% ·◆ |
| KOSTIZ, CHRISTOPHER, MICHAEL | PRESIDENT | 2004-10 | <5% ·◆ |
| MALONE, GERALD, WALKER | TRUSTEE | 2020-10 | <5% ·◆ |
| THEISEN, JOSEPH, ROBERT | VICE PRESIDENT | 2010-10 | <5% ·◆ |
| GARDNER, ELIZABETH, COLLEEN | CHIEF COMPLIANCE OFFICER | 2025-06 | <5% |
| LAWRENCE, STEPHANIE, ANN | CHIEF OPERATIONS OFFICER | 2025-01 | <5% |
| ADVANCE CAPITAL GROUP, INC.entity | HOLDING CO. OWNER | 1986-08 | 50–75% ·◆ |
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 (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) |
|---|---|---|---|
| HARKLEROAD, KATHY, JO | CHIEF OPERATIONS OFFICER & CHIEF COMPLIANCE OFFICER · CHIEF OPERATIONS OFFICER · CHIEF COMPLIANCE OFFICER | 2024-10 | — not seen at a tracked firm |
| SHOEMAKER, JOHN, CALVIN | TRUSTEE · DIRECTOR | 2024-04 | — not seen at a tracked firm |
| CAPPELLI, ROBERT, JOSEPH | TRUSTEE · DIRECTOR | 2024-04 | — not seen at a tracked firm |
| MARRIOTT, TODD, ALLAN | CHIEF COMPLIANCE OFFICER | 2023-01 | — 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.
