CIK 71259
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2022-Q3. 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 |
|---|---|---|---|
| BAUDARD, PIERRE, DOMINIQUE | DIRECTOR | 2022-01 | <5% ·◆ |
| CLEMENTS, DINA, VICTOROVNA | CHIEF COMPLIANCE OFFICER | 2022-11 | <5% ·◆ |
| JONES, TINA | DIRECTOR AND CHIEF INVESTMENT OFFICER | 2019-04 | <5% ·◆ |
| POWELL, GARY, ALAN | DIRECTOR AND CHAIRMAN OF THE BOARD | 2016-06 | <5% ·◆ |
| ROTHSCHILD & CO NORTH AMERICA INC.entity | PARENT OF APPLICANT | 1987-12 | 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 (2022-Q4). 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) |
|---|---|---|---|
| Kishore, Nikhil | CHIEF COMPLIANCE OFFICER | 2022-11 | — not seen at a tracked firm |
| CARROLL, JOHN, MURRAY | DIRECTOR AND GENERAL COUNSEL OF ROTHSCHILD & CO NORTH AMERICA INC · DIRECTOR AND GENERAL COUNSEL OF ROTHSCHILD NORTH AMERICA INC · DIRECTOR | 2021-03 | — not seen at a tracked firm |
| NEISSA, JAMES, MANUEL | DIRECTOR | 2020-10 | — not seen at a tracked firm |
| OROZCO, KATHRYN, MAGINNIS | DIRECTOR, CHIEF OPERATING OFFICER AND HEAD OF RISK MANAGEMENT · CHIEF OPERATING OFFICER AND HEAD OF RISK MANAGEMENT | 2020-10 | — not seen at a tracked firm |
| LEBRUN, LEE, ANTOINE | DIRECTOR | 2019-08 | — not seen at a tracked firm |
| OSHINSKIE, ROBERT, DANIEL | CHIEF INVESTMENT OFFICER · CO-HEAD AND CHIEF EQUITY OFFICER · CHIEF EQUITY OFFICER | 2018-11 | — not seen at a tracked firm |
| WOODS, MICHAEL, JOHN | CHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER AND DIRECTOR · CHIEF EXECUTIVE OFFICER AND DIRECTOR | 2018-03 | — not seen at a tracked firm |
| Rawlings, Thomas, Wayne | CHIEF OPERATING OFFICER · HEAD OF ADMINISTRATION | 2015-10 | Maple Capital Management, Inc. |
| LAURENS, JEAN-LOUIS | CHAIRMAN OF THE BOARD OF DIRECTORS AND HEAD OF GLOBAL ASSET MANAGEMENT · HEAD OF GLOBAL ASSET MANAGEMENT | 2015-10 | — not seen at a tracked firm |
| TANG, DAVID | CHIEF COMPLIANCE OFFICER | 2015-09 | — not seen at a tracked firm |
| DIDHAM, ANDREW | DIRECTOR | 2015-06 | — not seen at a tracked firm |
| TAMASCO, MICHAEL, ANTHONY | CO-HEAD AND CO-HEAD OF DISTRIBUTION FOR GLOBAL ASSET MANAGEMENT · CO-HEAD AND CHIEF MARKETING OFFICER · CHIEF MARKETING OFFICER | 2014-06 | — not seen at a tracked firm |
| LAWRENCE, JAMES, ARTHUR | DIRECTOR | 2014-06 | — not seen at a tracked firm |
| TAVEL, MARK, KIVEY | DIRECTOR | 2013-06 | — not seen at a tracked firm |
| JOHNSON, THOMAS, RADEY | CHIEF EXECUTIVE OFFICER, DIRECTOR | 2013-06 | — 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.
