CIK 275484
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 2026-03-17). 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 2026-03-17. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 2005-10 | <5% ·◆ |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2003-04 | <5% ·◆ |
| DAVIS, SCOTT EARLE | CFO & FINOP | 2024-12 | <5% |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 2024-08 | <5% |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 2025-04 | <5% |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2018-06 | <5% |
| PEARSON, TROY DALE | ROSFP | 2004-06 | <5% |
| INDEPENDENT FINANCIAL GROUP, INC.entity | OWNER | 2003-12 | 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 (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) |
|---|---|---|---|
| BATOR, TRAVIS LEIGH | CCO BROKERAGE & ADVISORY | 2024-07 | — not seen at a tracked firm |
| HALL, DOUGLAS CHRISTOPHER | CCO | 2023-03 | — not seen at a tracked firm |
| THOMAS, DANNY EARL | CCO-ADVISORY | 2023-03 | — not seen at a tracked firm |
| MILLER, JOE HENRY JR | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER · CHIEF EXECUTIVE OFFICER | 2022-08 | — not seen at a tracked firm |
| FUENTES, MARCO ADAN | CCO | 2021-05 | — not seen at a tracked firm |
| WAITMAN, CONSTANCE COOK | EVP/COO · VICE PRESIDENT, OPERATIONS | 2020-03 | — not seen at a tracked firm |
| MYERS, MARIA BONA | CHIEF COMPLIANCE OFFICER/ROSFP | 2018-08 | — 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.
