CIK 1582968
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.
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| CLIFT, TIMOTHY, JOHN | CHIEF INVESTMENT OFFICER | 2023-03 | <5% ·◆ |
| THOM, CHRISTOPHER, BRIAN | PRESIDENT | 2023-02 | <5% ·◆ |
| WITBECK, JEREMY, DEE | SENIOR VICE PRESIDENT | 2021-12 | <5% ·◆ |
| GALLOWAY, PETER, P | CHIEF COMPLIANCE OFFICER | 2023-02 | <5% |
| ADVISER INVESTMENTSentity | MANAGING MEMBER | 2022-05 | 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 (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) |
|---|---|---|---|
| MASON, JAMES, RICHARD | CHIEF COMPLIANCE OFFICER | 2022-11 | — not seen at a tracked firm |
| POWELL, JEFFREY, JOHN | MANAGING DIRECTOR · MANAGING PARTNER & MANAGING MEMBER · MANAGING PARTNER · MANAGING MEMBER · PRESIDENT & CEO | 2022-06 | — not seen at a tracked firm |
| CRESCENZO, ANGELA | CHIEF OPERATING OFFICER · CHIEF COMPLIANCE OFFICER | 2019-01 | — not seen at a tracked firm |
| WALSH, NATHAN, HATTON | CFO & CHIEF COMPLIANCE OFFICER | 2012-03 | — 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.
