CIK 1594197
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2022-Q3. 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.
Signed this manager's latest 13F (2022-Q4). 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) |
|---|---|---|---|
| JONES, LESLEY, LYNN | CHIEF COMPLIANCE OFFICER | 2018-07 | TTP Investments, Inc. |
| SPEARS, JEFFREY, CASTLE | CHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER · CHIEF EXECUTIVE OFFICER | 2017-04 | — not seen at a tracked firm |
| OGDEN, KEITH, EDWARD | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER | 2012-09 | — 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.
