CIK 2003570
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 |
|---|---|---|---|
| Blum, David | BOARD CHAIRMAN | 2021-10 | <5% ·◆ |
| COMEAU, SCOTT, LEONARD | CHIEF COMPLIANCE OFFICER | 2018-07 | <5% ·◆ |
| MERTENS, KRISTI, LYNN | BOARD MEMBER | 2022-07 | <5% ·◆ |
| SMITH, CHARLES, EDWARD | BOARD MEMBER/TREASURER | 2012-11 | <5% ·◆ |
| Sahagian, John, S | BOARD MEMBER | 2021-10 | <5% ·◆ |
| Sammons, Jill | BOARD MEMBER | 2021-10 | <5% ·◆ |
| BAXTER CREDIT UNIONentity | UNIT HOLDER | 2012-03 | 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) |
|---|---|---|---|
| MOORE, THOMAS, GERARD | CHAIRMAN | 2021-10 | — not seen at a tracked firm |
| Dryfhout, Kenneth, Scott | BOARD MEMBER (01/2015)/CHIEF COMPLIANCE OFFICER (05/2018) · BOARD MEMBER | 2021-10 | — not seen at a tracked firm |
| Price, Carey | BOARD MEMBER | 2021-10 | — not seen at a tracked firm |
| REYNOLDS, DOUGLAS, DARLINGTON | MANAGING DIRECTOR/BOARD MEMBER | 2018-10 | — not seen at a tracked firm |
| DIMON, CHARLES, LOUIS | CHIEF COMPLIANCE OFFICER | 2018-03 | — not seen at a tracked firm |
| WATSON, EDWIN, THOMAS | PRESIDENT/CHIEF COMPLIANCE OFFICER/BOARD MEMBER | 2016-03 | — not seen at a tracked firm |
| ORR, RICHARD, ALLAN | BOARD MEMBER/INVESTMENT ADVISER REPRESENTATIVE | 2016-03 | — 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.
