CIK 1963326
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 2026-04-20). 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 2026-04-20. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| FRYE, WILLIAM, ROBERT | CHIEF COMPLIANCE OFFICER | 2011-03 | <5% ·◆ |
| LUBY, STEPHEN, BRASSIL | CHIEF REVENUE OFFICER | 2023-03 | <5% ·◆ |
| MORAIF, KENNETH, ALFRED | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2023-12 | <5% ·◆ |
| ROACH, JORDAN, MICHAEL | CHIEF INVESTMENT OFFICER | 2024-11 | <5% ·◆ |
| STUART, JULIA | CHIEF OPERATING OFFICER | 2021-07 | <5% ·◆ |
| WINKLER, CHRISTOPHER, TODD | CHIEF FINANCIAL OFFICER | 2023-03 | <5% ·◆ |
| MORAIF FAMILY EXEMPT IRREVOCABLE TRUSTentity | SHAREHOLDER | 2023-12 | 75%+ ·◆ |
| RETIREMENT PLANNERS OF AMERICA EMPLOYEE STOCK OWNERSHIP TRUSTentity | SHAREHOLDER | 2023-12 | 10–25% |
| ARGENT TRUST COMPANYentity | TRUSTEE OF RETIREMENT PLANNERS OF AMERICA EMPLOYEE STOCK OWNERSHIP TRUST | 2023-12 | <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) |
|---|---|---|---|
| DYER, CHARLES, DOUGLAS | MEMBER | 2023-09 | — not seen at a tracked firm |
| BARTOL, DOUGLAS, MERRILL | MEMBER | 2023-09 | — not seen at a tracked firm |
| WOLF, BRIAN, THOMAS | CHIEF FINANCIAL OFFICER | 2023-01 | — not seen at a tracked firm |
| WARD, JAMES, LEO | EXECUTIVE VICE PRESIDENT, ADVISORY SERVICES | 2023-01 | — not seen at a tracked firm |
| DRAGON, ELIAS, ROBERT | MEMBER | 2021-09 | — not seen at a tracked firm |
| CARRILLO, SUZANNA, MARIA | VICE PRESIDENT OF BUSINESS DEVELOPMENT | 2020-11 | — not seen at a tracked firm |
| COCKRUM, DAVID, JOSEPH | CHIEF OPERATING OFFICER | 2019-11 | — not seen at a tracked firm |
| Randolph, William, Howard | CHIEF FINANCIAL OFFICER | 2019-11 | — not seen at a tracked firm |
| HATTON, CLARK, CHRISTOPHER | MEMBER | 2018-05 | — 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.
