CIK 1766972
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2025-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 |
|---|---|---|---|
| BURKE, LISA, MARIE | CHIEF COMPLIANCE OFFICER | 2025-07 | <5% ·◆ |
| JOHNSON, BRANDON, CARROLL | CHIEF EXECUTIVE OFFICER | 2016-07 | <5% ·◆ |
| JOHNSON, WENDY, MARIE | CHIEF INNOVATION OFFICER & GENERAL COUNSEL | 2016-01 | <5% ·◆ |
| Keffeler, Kristin | CHIEF LEARNING OFFICER | 2021-12 | <5% |
| MCCONNELL, MARK, PETER | MANAGING DIRECTOR | 2022-07 | <5% |
| WILLIAMS, ALBERT, WAYNE | MANAGING DIRECTOR | 2016-12 | <5% |
| JOHNSON FINANCIAL GROUP LLCentity | MANAGING MEMBER | 2016-07 | 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 (2025-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) |
|---|---|---|---|
| LUTZ, GARY, BRIAN | MANAGING MEMBER/PRESIDENT | 2017-03 | — 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.
