CIK 1710477
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 2026-05-13). 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 2026-05-13. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| BRAJER, ADAM, MARC | GENERAL COUNSEL AND SECRETARY | 2025-08 | <5% ·◆ |
| FERRI, WILLIAM, JOSEPH | GLOBAL HEAD OF ASSET MANAGEMENT | 2022-06 | <5% ·◆ |
| KARLE, WALTER, DESMOND | CHIEF COMPLIANCE OFFICER | 2018-08 | <5% ·◆ |
| SALINAS, DANNY, H | CHIEF FINANCIAL OFFICER | 2025-04 | <5% ·◆ |
| Ambach, Glenn | PORTFOLIO MANAGER | 2017-08 | <5% |
| BRUCE, JOHN, THOMAS | PORTFOLIO MANAGER AND SR MANAGING DIRECTOR | 2021-06 | <5% |
| Brim, John, David | CO-CHIEF INVESTMENT OFFICER | 2025-08 | <5% |
| MILNER, CHRISTOPHER, ALAN | CO-CHIEF INVESTMENT OFFICER | 2025-08 | <5% |
| CFAM HOLDINGS, LLCentity | MEMBER | 2025-05 | 75%+ ·◆ |
| CANTOR FITZGERALD INVESTMENT ADVISORS HOLDINGS, LLCentity | MANAGING PARTNER | 2010-02 | <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) |
|---|---|---|---|
| MERKEL, STEPHEN, MARCUS | GENERAL COUNSEL AND SECRETARY · CHIEF LEGAL OFFICER | 2024-05 | — not seen at a tracked firm |
| MILLARD, MICHAEL, GERARD | EXECUTIVE VICE PRESIDENT · GLOBAL HEAD OF ASSET MANAGEMENT | 2024-05 | — not seen at a tracked firm |
| PAULSON, KENNETH, MICHAEL | CHIEF FINANCIAL OFFICER | 2024-05 | Smith Group Asset Management, LLC |
| KAPLAN, MARK, ELLIOT | CHIEF EXECUTIVE OFFICER | 2024-05 | — not seen at a tracked firm |
| MORGAN, HERBERT, WILLIAM | SR MANAGING DIRECTOR | 2024-05 | — not seen at a tracked firm |
| ANZALONE, THOMAS, JOSEPH | CHIEF OPERATIONS OFFICER | 2021-03 | — not seen at a tracked firm |
| BISGAY, STEVEN | CHIEF FINANCIAL OFFICER | 2019-11 | — not seen at a tracked firm |
| SHIELDS, WILLIAM, MICHAEL | CHIEF COMPLIANCE OFFICER | 2018-07 | — not seen at a tracked firm |
| HART, STEPHEN, MICHAEL | CHIEF COMPLIANCE OFFICER | 2018-05 | — not seen at a tracked firm |
| MATTHEWS, SHAWN, PETER | CHIEF EXECUTIVE OFFICER | 2018-03 | — not seen at a tracked firm |
| BOND, JAMES, MICHAEL | CHIEF OPERATING OFFICER | 2018-03 | — not seen at a tracked firm |
| GOLDFARB, DAVID | GLOBAL HEAD OF ASSET AND WEALTH MANAGEMENT | 2017-03 | — not seen at a tracked firm |
| BOGNER, HARRIS, JASON | CHIEF COMPLIANCE OFFICER | 2017-03 | Oracle Alpha Inc., Brandywine Asset Management, Inc. |
| BARNARD, DOUGLAS, RANKIN | CHIEF FINANCIAL OFFICER | 2015-05 | — not seen at a tracked firm |
| DISTELL, GARY, NEIL | CHIEF COMPLIANCE OFFICER | 2014-03 | — not seen at a tracked firm |
| KAPLAN, MARLENA, ANN | CHIEF FINANCIAL OFFICER, FUND ADVISORY SERVIVCES | 2012-03 | — 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.
