CIK 16972
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2023-Q3. 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 |
|---|---|---|---|
| MACCALLUM, IAN, BARRIE | PARTNER | 2014-01 | <5% ·◆ |
| MAZZULLO, DAVID, JONATHAN | PARTNER | 2019-03 | <5% ·◆ |
| WERNER, JOSEPH, BLAIR | PARTNER | 1991-03 | <5% ·◆ |
| EISING, ROBERT, CHARLES | PARTNER | 2014-01 | <5% |
| GILES, EDWARD, MORGAN | SENIOR VICE PRESIDENT | 2011-07 | <5% |
| GILES, WALTER, KENNETH | SENIOR VICE PRESIDENT | 2020-06 | <5% |
| GOLDBERG, GLENN, MICHAEL | CHIEF COMPLIANCE OFFICER | 2022-01 | <5% |
| HERRMAN II, WILLIAM, HENRY |
| 2018-08 |
| <5% |
| KOGAN, PATRICIA, ANN | PARTNER | 2016-01 | <5% |
| LYNN, JENNIFER, BUCHMAN | PARTNER | 2014-10 | <5% |
| SALOMON, ANNA | TREASURER | 2015-08 | <5% |
| SHAPIRO, ROBERT, FRANK | SENIOR VICE PRESIDENT | 2014-01 | <5% |
| THOW, RONALD, CHARLES | PARTNER | 2014-01 | <5% |
| WARTMAN, PAUL, ANDREW | PARTNER | 1995-01 | <5% |
| PBC ACQUISITION CORP., INC.entity | OWNER | 2019-03 | 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-Q4). 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) |
|---|---|---|---|
| MUROFF, NEAL, DAVID | CHIEF COMPLIANCE OFFICER | 2021-10 | — not seen at a tracked firm |
| HERRMAN, WILLIAM, HENRY | SENIOR VICE PRESIDENT | 2020-06 | — not seen at a tracked firm |
| MANZULLI, MICHAEL, FRANK | DIRECTOR | 2019-03 | — not seen at a tracked firm |
| CANGEMI, THOMAS, ROBERT | DIRECTOR | 2019-03 | — not seen at a tracked firm |
| FICALORA, JOSEPH, R. | DIRECTOR | 2019-03 | — not seen at a tracked firm |
| DAHYA, HANIF, MOHAMED | DIRECTOR | 2019-03 | — not seen at a tracked firm |
| FURTH, JOHN | VICE CHAIRMAN; DIRECTOR · VICE CHAIRMAN | 2018-08 | — not seen at a tracked firm |
| WERNER, JASON | VICE PRESIDENT, PORTFOLIO MANAGER | 2018-03 | — not seen at a tracked firm |
| DENEAU, IZABELLA | TREASURER | 2015-03 | — not seen at a tracked firm |
| BUCHMAN, JOYCE | EXECUTIVE VICE PRESIDENT; DIRECTOR | 2014-04 | — not seen at a tracked firm |
| VOUTSINAS, SPIROS | DIRECTOR | 2014-04 | — not seen at a tracked firm |
| MITTELMAN, PAUL | TREASURER AND SECRETARY | 2013-03 | — 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.
