CIK 1992810
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2024-Q2. 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 |
|---|---|---|---|
| RIORDAN, MICHAEL, P | CHIEF COMPLIANCE OFFICER | 2024-12 | 10–25% ·◆ |
| Ariyan, Gerald, Haig | CHAIRMAN | 2024-12 | <5% ·◆ |
| GALAN, DIEGO, J | CHIEF FINANCIAL OFFICER | 2024-12 | <5% ·◆ |
| CAVALIER INVESTMENT HOLDINGS, LLCentity | MEMBER | 2024-12 | 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 (2024-Q3). 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) |
|---|---|---|---|
| GRAEVE, TYLER, JOSEPH | MANAGER/CCO · MANAGING MEMBER/CEO/CCO · CEO/CCO | 2024-12 | — not seen at a tracked firm |
| NEELY, MARK, THOMAS | MEMBER | 2024-08 | — not seen at a tracked firm |
| Graeve, Daniel, Stephen | MEMBER | 2024-08 | — not seen at a tracked firm |
| SCOTT, III, JOHN, ALEXANDER | MANAGER · MANAGER/CCO | 2022-01 | — not seen at a tracked firm |
| FAWCETT, JEREMY, FREDERICK | CCO | 2021-12 | — 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.
