CIK 1672067
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.
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| SCHMITT, KEITH, FRANCIS | PRESIDENT/DIRECTOR OF FINANCIAL PLANNING | 2026-01 | 25–50% ·◆ |
| BUZAN, ANDREW, D | TREASURER/CHIEF INVESTMENT OFFICER | 2026-01 | 10–25% ·◆ |
| KELMAN, MARTIN, SAMUEL | CHAIRMAN | 1981-04 | 10–25% ·◆ |
| LAZAROV, RONALD, JAY | FOUNDING PARTNER | 1979-08 | 10–25% ·◆ |
| O'Hearn, Patrick, Joseph | SECRETARY/SENIOR FINANCIAL ADVISOR | 2026-01 | 10–25% ·◆ |
| MUNEKATA, MICHAEL | CHIEF COMPLIANCE OFFICER | 2019-05 | 5–10% ·◆ |
| SAMUELS, JACOB, CULLEN | SENIOR PORTFOLIO MANAGER |
| 2019-05 |
| 5–10% ·◆ |
| LOWERY, APRIL, RICE | SENIOR FINANCIAL ADVISOR | 2025-01 | <5% |
| PURCELL, CHRISTOPHER, JOHN | SENIOR FINANCIAL ADVISOR | 2018-12 | <5% |
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) |
|---|---|---|---|
| MARTIN, JESSICA, MOSBY | CHIEF COMPLIANCE OFFICER | 2018-05 | — not seen at a tracked firm |
| ELLIS, KRISTEN, MATTINGLY | COMPLIANCE OFFICER AND ASSISTANT SECRETARY · CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | 2016-11 | — 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.
