CIK 1632097
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 2026-03-31). 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 2026-03-31. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| MOSER, TODD, ALAN | MANAGING MEMBER | 2019-08 | 10–25% ·◆ |
| NELSON, ROBERT, DEAN | MANAGING MEMBER, CEO & FOUNDING PARTNER | 2013-10 | 10–25% ·◆ |
| DuBrueler, James, Marshall | CHIEF FINANCIAL OFFICER, SAMMONS FINANCIAL GROUP WEALTH | 2026-03 | <5% ·◆ |
| FIELD, BRENT, TROY | CHIEF INVESTMENT OFFICER | 2013-10 | <5% ·◆ |
| Mock, Michael, Lee | PRESIDENT, SAMMONS FINANCIAL GROUP WEALTH | 2025-12 | <5% ·◆ |
| SHOEMAKER, KATHLEEN, SWEENEY | CHIEF COMPLIANCE OFFICER | 2023-03 | <5% ·◆ |
| NORTHROCK PARTNERS HOLDCO, LLCentity | MANAGING MEMBER | 2023-10 | 75%+ ·◆ |
| NORTHROCK PARTNERS INTERMEDIATE, LLCentity | MANAGING MEMBER | 2023-10 | 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) |
|---|---|---|---|
| Baenen, Sean, Berrigan | PRESIDENT & CHIEF FINANCIAL OFFICER · PRESIDENT | 2024-06 | — not seen at a tracked firm |
| CARI, SAMUEL, B | CHIEF LEGAL OFFICER | 2024-06 | — not seen at a tracked firm |
| BARDOT, ROBERT, K | CHIEF FINANCIAL OFFICER | 2024-06 | — not seen at a tracked firm |
| OLSON, MATTHEW, BARR | MANAGING MEMBER | 2023-12 | — not seen at a tracked firm |
| LUND, JAMES, BERNARD | CHIEF COMPLIANCE OFFICER & FOUNDING PARTNER · MANAGING MEMBER, SENIOR VICE PRESIDENT, FOUNDING PARTNER · MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER · MANAGING MEMBER, SENIOR VICE PRESIDENT · MEMBER & VICE PRESIDENT | 2023-01 | — not seen at a tracked firm |
| MEHTA, SUMIT | CHIEF FINANCIAL OFFICER | 2022-04 | — not seen at a tracked firm |
| SMITH, JEFFREY, ANDREW | CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER | 2022-03 | QTR Family Wealth, LLC |
| KNAUF, DOMINIC, JON | MANAGING MEMBER | 2020-10 | — not seen at a tracked firm |
| KRUSE, BRIAN, JON | MEMBER | 2018-10 | — not seen at a tracked firm |
| JURKOVICH, DAWN, DEBORAH | MEMBER | 2016-12 | — not seen at a tracked firm |
| WITCRAFT, TODD, DAVID | MANAGING MEMBER, SENIOR VICE PRESIDENT, CFO, COO AND CCO · CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER | 2016-03 | — not seen at a tracked firm |
| ARMSTRONG, WARD, DOUGLAS | MANAGING MEMBER · MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | 2015-06 | — not seen at a tracked firm |
| FLOOD, KEITH, OWEN | CHIEF COMPLIANCE OFFICER | 2013-06 | — 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.
