CIK 1893134
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 2026-03-26). 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 2026-03-26. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| BRAJER, ADAM, MARC | GENERAL COUNSEL AND SECRETARY | 2025-08 | <5% ·◆ |
| Brim, John, David | PRESIDENT AND CHIEF INVESTMENT OFFICER | 2021-07 | <5% ·◆ |
| FERRI, WILLIAM, JOSEPH | GLOBAL HEAD OF ASSET MANAGEMENT | 2022-06 | <5% ·◆ |
| KARLE, WALTER, DESMOND | CHIEF COMPLIANCE OFFICER | 2023-09 | <5% ·◆ |
| PAULSON, KENNETH, MICHAEL | CHIEF FINANCIAL OFFICER | 2021-02 | <5% ·◆ |
| CANTOR FITZGERALD INVESTMENT ADVISORSentity | MANAGING MEMBER | 2021-02 | 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 (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) |
|---|---|---|---|
| MILLARD, MICHAEL, GERARD | SENIOR VICE PRESIDENT · GLOBAL HEAD OF ASSET MANAGEMENT | 2024-03 | — not seen at a tracked firm |
| SMITH, STEPHEN, SPENCER | CEO, CHAIRMAN OF INVESTMENT COMMITTEE | 2024-03 | — not seen at a tracked firm |
| KAPLAN, MARK, ELLIOT | CHIEF OPERATING OFFICER | 2024-03 | — not seen at a tracked firm |
| JONES, JOHN, JOSEPH | SENIOR MANAGING DIRECTOR & SECRETARY | 2024-03 | — not seen at a tracked firm |
| MERKEL, STEPHEN, MARCUS | GENERAL COUNSEL AND SECRETARY | 2023-03 | — not seen at a tracked firm |
| NEUMANN, LUCINDA | CHIEF COMPLIANCE OFFICER | 2023-03 | — not seen at a tracked firm |
| ANZALONE, THOMAS, JOSEPH | CHIEF OPERATIONS OFFICER | 2022-11 | — 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.
