CIK 1667146
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 2026-04-13). 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 2026-04-13. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| HICKS, JOHN BRYAN | SHAREHOLDER,VICE PRESIDENT, BOARD MEMBER | 2012-07 | <5% ·◆ |
| ROBERTS, DAVID BRUCE | VICE PRESIDENT, SHAREHOLDER, BOARD MEMBER | 2012-07 | <5% ·◆ |
| SIMPSON, JAMES JEFFERSON | SHAREHOLDER, CEO, BOARD MEMBER | 2023-09 | <5% ·◆ |
| WESTCOMB, NATHAN DAVID | CHIEF COMPLIANCE OFFICER | 2016-05 | <5% ·◆ |
| SHUMBERG, IVANA M | FINOP | 2023-07 | <5% |
| AFP HOLDCO, LLCentity | SHAREHOLDER | 2025-08 | 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) |
|---|---|---|---|
| SAWTELLE, STEPHEN BARRA | SHAREHOLDER · DIRECTOR, SHAREHOLDER | 2024-09 | — not seen at a tracked firm |
| BELDNER, TIMOTHY SCOTT | SHAREHOLDER, DIRECTOR · SHAREHOLDER | 2024-09 | — not seen at a tracked firm |
| JOHNSON, LARRY WAYNE | SHAREHOLDER, TRUSTEE, DIRECTOR | 2024-09 | — not seen at a tracked firm |
| WILSON, MATTHEW ROY | SHAREHOLDER, TRUSTEE | 2024-09 | — not seen at a tracked firm |
| LINDBERG, CHARLES ALAN | SHAREHOLDER | 2023-08 | — not seen at a tracked firm |
| AUSDAL, ROBERT BURNS JR | CHIEF FINANCIAL OFFICER,FINANCIAL OPERATIONS PRINCIPAL · PRESIDENT, CHIEF FINANCIAL OFFICER,FINANCIAL OPERATIONS PRINCIPAL · PRESIDENT, CHIEF FINANCIAL OFFICER,FINANCIAL AND OPERATIONS PRINCIPAL, SHAREHOLDER, TRUSTEE, CCO OF RIA · PRESIDENT, CHIEF FINANCIAL OFFICER,FINANCIAL AND OPERATIONS PRINCIPAL, SHAREHOLDER, TRUSTEE · PRESIDENT, CHIEF FINANCIAL OFFICER,FINANCIAL AND OPERATIONS PRINCIPAL, CHIEF COMPLIANCE OFFICER · PRESIDENT, DIRECTOR, CHIEF FINANCIAL OFFICER,FINANCIAL AND OPERATIONS PRINCIPAL, CHIEF COMPLIANCE OFFICER · PRESIDENT, DIRECTOR, CHIEF FINANCIAL OFFICER,FINANCIAL AND OPERATIONS PRINCIPAL · PRESIDENT, DIRECTOR, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER,FINANCIAL AND OPERATIONS PRINCIPAL | 2023-04 | — not seen at a tracked firm |
| OAKES, EVELYN MARION | SHAREHOLDER | 2022-12 | — not seen at a tracked firm |
| MICKELSEN, KRAIG RICHARD | SHAREHOLDER | 2022-11 | — not seen at a tracked firm |
| HOPKINS, THOMAS, ARTHUR | DIRECTOR | 2019-03 | — not seen at a tracked firm |
| AUSDAL, JUNE CLARK | SHAREHOLDER | 2017-04 | — not seen at a tracked firm |
| SWINNEY, MICHELLE L | CORPORATE SECRETARY | 2017-04 | — not seen at a tracked firm |
| STEITZ, JUSTIN ROBERT | CHIEF COMPLIANCE OFFICER, SHAREHOLDER · SHAREHOLDER | 2013-07 | — 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.
