CIK 1565641
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 2026-03-30). 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 2026-03-30. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| ERFAN, ALI, REZA | DIRECTOR AND VICE CHAIRMAN | 2018-02 | <5% ·◆ |
| KAPLAN, THOMAS, SCOTT | CHAIRMAN, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2011-10 | <5% ·◆ |
| SHAPIRO, ANDREW, MARK | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 2012-01 | <5% ·◆ |
| WILLIAMS, MICHAEL, HALBERT | SENIOR MANAGING DIRECTOR | 2012-03 | <5% ·◆ |
| TEG SERVICES HOLDING INC.entity | MEMBER | 2013-01 | 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) |
|---|---|---|---|
| FINK, JOSHUA, AARON | DIRECTOR AND CO-VICE-CHAIRMAN · DIRECTOR AND VICE-CHAIRMAN · DIRECTOR | 2023-03 | — not seen at a tracked firm |
| LEVENTAL, IGOR, NMN | PRESIDENT · DIRECTOR | 2023-01 | — not seen at a tracked firm |
| VINCENT, ERIC, NELSON | DIRECTOR/CHIEF EXECUTIVE OFFICER | 2017-03 | — not seen at a tracked firm |
| ROWLAND, EMILY | CHIEF COMPLIANCE OFFICER AND ASSOCIATE GENERAL COUNSEL · CHIEF COMPLIANCE OFFICER | 2016-01 | — not seen at a tracked firm |
| WALLACE, MARK, DAVID | DIRECTOR/CHIEF OPERATING OFFICER | 2014-08 | — not seen at a tracked firm |
| NEWMAN, ROBERT, MORTON | DIRECTOR | 2014-05 | — not seen at a tracked firm |
| MASTROBUONI, THOMAS, ALEXANDER | SENIOR VICE PRESIDENT FINANCE | 2014-05 | — not seen at a tracked firm |
| DRACHMAN, STEVEN, SLOCUM | CHIEF COMPLIANCE OFFICER | 2013-02 | — not seen at a tracked firm |
| RECANATI KAPLAN, DAPHNE, MATILDE | MEMBER | 2012-12 | — 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.
