CIK 1591379
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 2026-03-13). 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 2026-03-13. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| ENGRO, STEPHEN, ANTHONY | PRESIDENT/ TREASURER/ CHIEF COMPLIANCE OFFICER/ SECRETARY | 2000-01 | <5% ·◆ |
| NORWOOD, ROBERT, BREDT | EXECUTIVE VICE PRESIDENT OF KESTRA FINANCIAL, INC | 2016-06 | <5% ·◆ |
| SHERBERT, BRANDON, KEITH | CHIEF OPERATING OFFICER | 2013-05 | <5% ·◆ |
| YIN, YIN | CONTROLLER AT KESTRA FINANCIAL, INC | 2016-06 | <5% ·◆ |
| MARKHAM, LORI, ANN | ASSISTANT SECRETARY | 2021-03 | <5% |
| KESTRA FINANCIAL, INCentity | MANAGING MEMBER | 2014-10 | 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) |
|---|---|---|---|
| Osborne, Angela, Maren | COO OF BLUESPRING WEALTH PARTNERS | 2024-04 | — not seen at a tracked firm |
| DIAMOND, MARK | SENIOR VICE PRESIDENT · VICE PRESIDENT | 2024-04 | — not seen at a tracked firm |
| ZIPFEL, ERIC, JOHN | SENIOR VICE PRESIDENT · VICE PRESIDENT | 2023-02 | — not seen at a tracked firm |
| VANDERHEYDEN, JOHN, PATRICK | EXECUTIVE VICE PRESIDENT OF KESTRA FINANCIAL, INC · VICE PRESIDENT | 2021-03 | — not seen at a tracked firm |
| POER, JAMES, LYNN | PRESIDENT OF KESTRA FINANCIAL, INC · VICE PRESIDENT | 2020-05 | — not seen at a tracked firm |
| SCHNEIDER, BRETT, RONALD | DIRECTOR | 2016-03 | FIDUCIENT ADVISORS LLC, Wealthspire Advisors, LLC, Wealthspire Retirement, LLC, Private Ocean, LLC, HERON FINANCIAL GROUP, LLC, GM Advisory Group, LLC, Sellwood Investment Partners LLC, RoundAngle Advisors LLC |
| LIESER, LORI, MICHELL | VICE PRESIDENT | 2016-03 | Private Ocean, LLC, HERON FINANCIAL GROUP, 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.
