CIK 1682021
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 2026-04-17). 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 2026-04-17. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| BASSEWITZ, MARC, D | CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL | 2019-01 | <5% ·◆ |
| Guzman, Yadira | CFO | 2022-01 | <5% ·◆ |
| HERGOTT, SCOTT, LEE | CIO | 2013-01 | <5% ·◆ |
| PELLICORI, FRANK, DOMENIC | PRESIDENT & DIRECTOR OF WEALTH MANAGEMENT | 2024-04 | <5% ·◆ |
| STERNBERG, DAVID, ALAN | CO-FOUNDER / CEO | 2011-12 | <5% ·◆ |
| VFT HOLDINGS LPentity | MEMBER | 2014-12 | 50–75% ·◆ |
| VFT & VCM GP I LLCentity | GENERAL PARTNER | 2021-11 | <5% ·◆ |
| VCM EQUITY HOLDINGS LLCentity | MEMBER | 2017-10 | 25–50% |
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) |
|---|---|---|---|
| PECK, MICHAEL, DILLON | CO-CIO / PRESIDENT · CO-CIO AND PRESIDENT | 2023-03 | First Trust Capital Management L.P. |
| EISENBERG, CHAD, SAMUAL | CHIEF OPERATING OFFICER | 2023-03 | First Trust Capital Management L.P. |
| GOLDEN, RANDAL, LAWRENCE | CO-FOUNDER / CFO · CO-FOUNDER / CFO/ CCO · CEO/ CIO/ CCO · ELECTED MANAGER/CCO · CCO | 2022-03 | — not seen at a tracked firm |
| COMELLA, MICHELLE, MARIE | CHIEF COMPLIANCE OFFICER / GENERAL COUNSEL | 2018-12 | — 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.
