CIK 1601742
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2024-Q1. 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 |
|---|---|---|---|
| DEL PRIORE, MICHAEL, J | CHIEF COMPLIANCE OFFICER | 2022-01 | <5% ·◆ |
| LAMENA, MICHAEL, ANTHONY | CHIEF EXECUTIVE OFFICER | 2022-01 | <5% ·◆ |
| LIESER, LORI, MICHELL | VICE PRESIDENT | 2022-01 | <5% ·◆ |
| MOO, VERONICA, EI CHUN | DIRECTOR | 2022-01 | <5% ·◆ |
| MORIARTY, MICHAEL, JOSEPH | CHIEF INVESTMENT OFFICER | 2022-01 | <5% ·◆ |
| O'MALLEY, EDWARD, GEORGE | DIRECTOR | 2022-01 | <5% ·◆ |
| POWERS, BRIAN, DAVID | CHIEF FINANCIAL OFFICER | 2022-01 |
| <5% ·◆ |
| SCHNEIDER, BRETT, RONALD | DIRECTOR | 2022-01 | <5% ·◆ |
| SONTAG, ERIC, MATTHEW | PRESIDENT & CHIEF OPERATIONS OFFICER | 2022-01 | <5% ·◆ |
| STASTNEY, HOYT, RONALD | CHIEF LEGAL OFFICER | 2022-01 | <5% ·◆ |
| WEALTHSPIRE ADVISORSentity | OWNER | 2022-01 | 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 (2024-Q2). 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) |
|---|---|---|---|
| FRIEDMAN, GREGORY, HUGH | CHIEF STRATEGY OFFICER · CHIEF EXECUTIVE OFFICER · PRESIDENT AND CHIEF EXECUTIVE OFFICER · PRESIDENT | 2023-03 | HERON FINANCIAL GROUP, LLC |
| SONTAG, HOWARD, VAUGHN | SR. MANAGING DIRECTOR | 2022-11 | — not seen at a tracked firm |
| DECARLO, JAMES, EDWIN | CHIEF GROWTH OFFICER | 2022-11 | — not seen at a tracked firm |
| HULT, JUSTIN, KARL | CHIEF COMPLIANCE OFFICER · DIRECTOR OF INVESTMENT OPERATIONS & CHIEF COMPLIANCE OFFICER | 2021-11 | — not seen at a tracked firm |
| DOPFEL, FREDERICK, EDWARD | DIRECT OWNER / INVESTMENT COMMITTEE CHAIR · DIRECT OWNER / CO- INVESTMENT COMMITTEE CHAIR · DIRECT OWNER/CO- INVESTMENT COMMITTEE CHAIR | 2021-11 | — not seen at a tracked firm |
| BOCKWOLDT, WILLIAM, HARRY | DIRECT OWNER | 2021-11 | — not seen at a tracked firm |
| JORSTAD, TIMOTHY | DIRECT OWNER | 2021-11 | — not seen at a tracked firm |
| SBROCCO, MICHAEL, ANTHONY | CHIEF FINANCIAL OFFICER | 2021-11 | — not seen at a tracked firm |
| DUVALL-DICKSON, SUSAN, DIANE | CHIEF OPERATING OFFICER · DIRECT OWNER/CHIEF OPERATING OFFICER | 2020-11 | — not seen at a tracked firm |
| JONES, FRANK, JOSEPH | DIRECT OWNER / CO- INVESTMENT COMMITTEE CHAIR · DIRECT OWNER/CO- INVESTMENT COMMITTEE CHAIR · DIRECT OWNER/INVESTMENT COMMITTEE CHAIR | 2020-09 | — not seen at a tracked firm |
| STONE, RICHARD, ALAN | CHAIRMAN · CHIEF EXECUTIVE OFFICER | 2018-06 | — not seen at a tracked firm |
| PYFER, CHARLES, MERRYMAN | DIRECT OWNER | 2017-09 | — not seen at a tracked firm |
| GALLIER, THEO, ALFORD | DIRECT OWNER/CHIEF INVESTMENT OFFICER | 2013-11 | — 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.
