CIK 1800135
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.
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| WALTMAN, JACK, WILLIAM | PRESIDENT, MEMBER | 2005-10 | 25–50% ·◆ |
| YOAKLEY, DOUGLAS, ANDREW | MEMBER | 2005-10 | 25–50% ·◆ |
| FOSTER, ERIC, E | MEMBER | 2007-01 | 10–25% |
| BALLARD, MELISSA, KESLING | MEMBER | 2024-07 | <5% |
| BROWN, MARTIN, DOUGLAS | MEMBER | 2005-10 | <5% |
| GHEEN, GREGORY, PAUL | MEMBER | 2005-10 | <5% |
| OTT, JESSICA, LEE | CHIEF COMPLIANCE OFFICER | 2009-03 | <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) |
|---|---|---|---|
| PERSHING, EDWARD, VAUGHAN | MEMBER | 2023-02 | — not seen at a tracked firm |
| ARNOLD, JAMES, DOUGLAS | MEMBER | 2020-06 | — not seen at a tracked firm |
| BANNER, JENNIFER, SUE | MEMBER | 2018-03 | — 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.
