CIK 764739
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 2026-03-31). 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 2026-03-31. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| COLEMAN, RODNEY, SCOTT | PRESIDENT | 2010-05 | 10–25% ·◆ |
| WHICKER, ROBERT, SETH | SENIOR FINANCIAL ADVISOR | 2010-08 | 10–25% ·◆ |
| YEAGER, STEPHEN, CHARLES | SENIOR FINANCIAL ADVISOR | 2000-10 | 10–25% ·◆ |
| POPENFOOSE, ANDREW, LEE | CHIEF INVESTMENT OFFICER | 2016-10 | 5–10% ·◆ |
| YEAGER, JERALD, WILLIAM | CHIEF EXECUTIVE OFFICER | 2003-05 | 5–10% ·◆ |
| ALLEN, CRYSTAL, LYNN | CHIEF COMPLIANCE OFFICER | 2009-01 | <5% |
| BLACK, KRISTIN, MARIE | CHIEF FINANCIAL OFFICER | 2019-01 | <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) |
|---|---|---|---|
| ACKMANN, THOMAS, ROBERT | SENIOR RETIREMENT PLAN ADVISOR · VICE PRESIDENT | 2023-11 | — not seen at a tracked firm |
| HARRISON, RICHARD, EDWARD | SENIOR FINANCIAL ADVISOR · VICE PRESIDENT | 2023-11 | — not seen at a tracked firm |
| DELAHANTY, SARAH, LEE | SENIOR FINANCIAL ADVISOR · FINANCIAL ADVISOR | 2023-11 | — not seen at a tracked firm |
| DULING, BRADLEY, SCOTT | SENIOR FINANCIAL ADVISOR · FINANCIAL ADVISOR | 2023-11 | — not seen at a tracked firm |
| SLOCUM, JONATHAN, THOMAS | SENIOR FINANCIAL ADVISOR | 2023-11 | — not seen at a tracked firm |
| Dornbier, Dennis, Paul | SENIOR FINANCIAL ANALYST | 2023-11 | — not seen at a tracked firm |
| SHEPHERD, JULIE, ANN | CLIENT SERVICE MANAGER | 2023-11 | — not seen at a tracked firm |
| HELFRICH, JOHN, FREDERICK | SENIOR FINANCIAL ADVISOR · VICE PRESIDENT | 2020-09 | — not seen at a tracked firm |
| WOLFSON, GEORGE, STEPHEN | SENIOR VICE PRESIDENT | 2018-03 | — not seen at a tracked firm |
| DONAHOE, NEIL, MURRAY | SENIOR VICE PRESIDENT, CO- CHIEF INVESTMENT OFFICER · SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, CHIEF INVESTMENT OFFICER | 2016-08 | — 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.
