CIK 1731713
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2023-Q2. 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 |
|---|---|---|---|
| CLARK, RANDALL, DEAN | PRINCIPAL | 1986-11 | <5% ·◆ |
| LEACH, JAMES, MICHAEL | PRINCIPAL | 2020-01 | <5% ·◆ |
| MITZELL, CHANNING, FREDERICK | PRINCIPAL | 1986-11 | <5% ·◆ |
| SHUPE, BRIAN, TODD | PRINCIPAL | 2000-07 | <5% ·◆ |
| ULSAS, MATTHEW, BRIAN | CHIEF COMPLIANCE OFFICER | 2008-03 | <5% |
| CORIENT PRIVATE WEALTH LLCentity | OWNER | 2023-10 | 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-Q3). 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) |
|---|---|---|---|
| ESPOSITO, FRANK, JOSEPH | PRINCIPAL | 2022-03 | — not seen at a tracked firm |
| Woodworth, Niki, Fowler | DIRECTOR OF CLIENT SERVICES | 2022-03 | — 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.
