CIK 1641652
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 |
|---|---|---|---|
| KNIGHT, MICHELLE, ANN | PRESIDENT AND CHIEF ECONOMIST | 2020-01 | <5% ·◆ |
| FAZIO, KRISTIN, DIBARNABA | CHIEF COMPLIANCE OFFICER | 2015-01 | <5% |
| POWERS, JOSEPH, EDMUND | CHIEF INVESTMENT OFFICER | 2020-01 | <5% |
| ADVISER INVESTMENTSentity | MANAGING MEMBER | 2023-07 | 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) |
|---|---|---|---|
| SHAPIRO, ROBERT, NEWMAN | CHIEF EXECUTIVE OFFICER · MANAGEMENT COMMITTEE CHAIR | 2019-03 | — not seen at a tracked firm |
| HALL, MARTIN, ANTHONY | MANAGEMENT COMMITTEE MEMBER | 2016-03 | — not seen at a tracked firm |
| SIMONS, HUGH, ANTHONY | CHIEF EXECUTIVE OFFICER, MANAGEMENT COMMITTEE MEMBER · CHIEF EXECUTIVE OFFICER | 2015-01 | — not seen at a tracked firm |
| SHIRLEY, STEPHEN, RILEY | CHIEF COMPLIANCE OFFICER | 2014-08 | — 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.
