CIK 1771174
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 |
|---|---|---|---|
| SMITH, ANDREW, ALASDAIR | CHAIRMAN AND INTERIM CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER | 2022-06 | <5% ·◆ |
| FAIGL, PETER | CHIEF INVESTMENT OFFICER | 2022-01 | 10–25% |
| HAAS, JEFFREY, M. (MI ONLY) | PRESIDENT | 2022-01 | 10–25% |
| MCDERMOTT, JAMES, JOHN | CHIEF FINANCIAL OFFICER | 2023-01 | <5% |
| SPOUTING ROCK FINANCIAL PARTNERS, LLCentity | OWNER | 2008-01 | 75%+ ·◆ |
| SPOUTING ROCK ASSET MANAGEMENT, LLCentity | MAJORITY OWNER | 2022-01 | 50–75% ·◆ |
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) |
|---|---|---|---|
| DALY, ANDREW, MCLEAN | CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER · CHIEF COMPLIANCE OFFICER · CHIEF OPERATING OFFICER | 2023-09 | — not seen at a tracked firm |
| SHIELDS, JENNIFER, MEREDITH | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 2023-09 | — not seen at a tracked firm |
| BROOKMAN, MARC, J | CHIEF EXECUTIVE OFFICER | 2023-09 | — not seen at a tracked firm |
| WYLIE, JAMES, ANDREW | CHIEF MARKETING OFFICER · HEAD OF DISTRIBUTION | 2023-09 | — not seen at a tracked firm |
| PAGE, BLAKELY, CHAPMAN | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER · CHIEF COMPLIANCE OFFICER · MANAGING MEMBER | 2022-09 | — not seen at a tracked firm |
| Hullings, Michael, Alfred | CHIEF LEGAL OFFICER · CHIEF COMPLIANCE OFFICER | 2022-03 | — not seen at a tracked firm |
| COYNE, JOHN, EDWARD | CHAIRMAN | 2022-03 | — not seen at a tracked firm |
| RIDOLFI, LINDA, R | CHIEF COMPLIANCE OFFICER | 2021-03 | — not seen at a tracked firm |
| DESCOTEAUX, DIANNE, MARIE | CHIEF COMPLIANCE OFFICER | 2021-02 | — not seen at a tracked firm |
| TUNG, TAI-CHIN, (NONE) | CHIEF INVESTMENT OFFICER | 2016-04 | — not seen at a tracked firm |
| CZIZEK, ANNE, CHRISTINE | CHIEF COMPLIANCE OFFICER | 2016-04 | — not seen at a tracked firm |
| SILBERGELD, TODD, FREDRIC | CHIEF COMPLIANCE OFFICER | 2015-10 | — not seen at a tracked firm |
| HICKEY, ERICH, MICHAEL | PRESIDENT | 2015-05 | — not seen at a tracked firm |
| TENNENBAUM, JEREMY | CHAIRMAN | 2015-05 | — 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.
