CIK 1846368
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.
Firm-level facts as reported by the adviser on Form ADV Part 1A (latest filing 2025-10-03). Regulatory assets under management (RAUM) is Form ADV's gross figure and can differ from a 13F long book — it includes private-fund assets, leverage and non-13(f) securities. Titles and figures as-filed. Latest ADV filing 2025-10-03. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| BERNS, DAVID, MARC | CO-FOUNDER, CHIEF INFORMATION OFFICER | 2020-02 | 25–50% ·◆ |
| KIM, PAUL, SANG JIN | CO-FOUNDER, CHIEF EXECUTIVE OFFICER | 2020-02 | 25–50% ·◆ |
| HO, FIONA, CHI YU | CHIEF OPERATING OFFICER | 2021-01 | <5% ·◆ |
| KELLEHER, BRIAN, CARROLL | CHIEF REVENUE OFFICER | 2021-04 | <5% ·◆ |
| RYU, JOHN | CHIEF FINANCIAL OFFICER | 2021-06 | <5% ·◆ |
| MOORE, ALBERT, ASHOK | CHIEF COMPLIANCE OFFICER | 2025-07 | <5% |
| RICHARD KAYNE AND SUZANNA KAYNE LIVING TRUSTentity | OWNER | 2023-10 | 10–25% |
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.
