CIK 1962236
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 |
|---|---|---|---|
| FULLERTON, STEPHANIE, ELAINE | MEMBER | 2019-01 | 50–75% ·◆ |
| FULLERTON, STEVEN, DAVID | MEMBER & PRESIDENT | 2010-11 | 50–75% ·◆ |
| BECKER, JOSHUA, PAUL | CHIEF OPERATING OFFICER | 2023-03 | <5% ·◆ |
| Meza, Dustin | CHIEF COMPLIANCE OFFICER | 2025-09 | <5% |
| FULLERTON FINANCIAL HOLDINGS, LLCentity | OWNER | 2023-03 | 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) |
|---|---|---|---|
| POHL, BRETT, WILLIAM | CHIEF COMPLIANCE OFFICER | 2024-07 | TOTAL INVESTMENT MANAGEMENT INC, Plan Group Financial, LLC, Thrive Capital Management, LLC |
| HOPKINS, ROBERT, LEE | CHIEF COMPLIANCE OFFICER | 2024-02 | — not seen at a tracked firm |
| Gatti, Blaize, Shawn | CHIEF OPERATING OFFICER · CHIEF COMPLIANCE OFFICER | 2022-09 | — not seen at a tracked firm |
| Sackrider, Dianne | CHIEF COMPLIANCE OFFICER | 2020-03 | — not seen at a tracked firm |
| PREBLE, SCOTT, ROY | CHIEF COMPLIANCE OFFICER | 2019-10 | — 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.
