CIK 1738887
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.
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) |
|---|---|---|---|
| LITTLE, STEFANIE, JANE | CHIEF COMPLIANCE OFFICER | 2024-07 | AdvisorShares Investments LLC |
| SAND, DAVID, FRANKLIN | CHIEF IMPACT STRATEGIST | 2024-07 | — not seen at a tracked firm |
| FAFARD, KRISTIN, LYNN | CHIEF INVESTMENT STRATEGIST | 2024-07 | — not seen at a tracked firm |
| COOPER, JOHN, SCOTT | OWNER | 2020-02 | — not seen at a tracked firm |
| DOWNES, DAVID, KEITH | CHAIR AND DIRECTOR · VICE CHAIR AND DIRECTOR · CHIEF EXECUTIVE OFFICER AND DIRECTOR |
| 2019-08 |
| — not seen at a tracked firm |
| VANSCOY, BARBARA, ROSE | BOARD CHAIR · BOARD CHAIR, EXECUTIVE VP, SENIOR PORTFOLIO MANAGER AND DIRECTOR | 2016-03 | — not seen at a tracked firm |
| ROGERS, MICHELLE, VOGT | EXECUTIVE VICE PRESIDENT, SENIOR PORTFOLIO MANAGER AND DIRECTOR | 2015-05 | — not seen at a tracked firm |
| COOPER, CAROL, DIANE | OWNER | 2014-03 | — not seen at a tracked firm |
| HASTINGS, JOSEPH, HERBERT | CHIEF FINANCIAL OFFICER | 2013-08 | — not seen at a tracked firm |
| MITCHELL, KEITH, EUGENE | OWNER | 2012-03 | — not seen at a tracked firm |
| HUTCHESON, JOANNE, OLGA | OWNER | 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.
