CIK 831941
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2023-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 |
|---|---|---|---|
| DAVIS, MICHAEL, HOWARD | VICE PRESIDENT | 2022-01 | 25–50% ·◆ |
| BIRO, GREGG, ALEXANDER | SHAREHOLDER (01/2014), PRESIDENT (10/2019), CHIEF EXECUTIVE OFFICER | 2022-01 | 5–10% ·◆ |
| MACKALL, STEPHEN, EDWARD | SHAREHOLDER, DIRECTOR OF OPERATIONS, AND CHIEF INVESTMENT OFFICER | 2011-01 | 5–10% ·◆ |
| MASUR, MICHAEL, TEMERSON | TREASURER / CHIEF COMPLIANCE OFFICER | 2007-01 | 5–10% ·◆ |
| PHILLIPS, ERNEST, EDWARD | SHAREHOLDER | 2011-01 | 5–10% ·◆ |
| REGILIO, NICOLE, R | SECRETARY | 2015-04 | 5–10% ·◆ |
| STERLING, KIMBERLY, ANN |
| VICE PRESIDENT |
| 2015-04 |
| 5–10% ·◆ |
| Campese, Natalie, Eve | SHAREHOLDER | 2022-01 | 5–10% |
| DAVIS, AMY, L | SHAREHOLDER (01/2022) / BOARD OF DIRECTORS CHAIR | 2022-04 | 5–10% |
| PALONEN, LINDA, EMILIA | SHAREHOLDER | 2019-01 | 5–10% |
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 (2023-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) |
|---|---|---|---|
| GARCIA, FRANK, MATTHEW | CO-CHIEF INVESTMENT OFFICER | 2021-12 | Frankly Finances, LLC |
| JAMES, JOHNNIE, PRICE | PRESIDENT | 2019-01 | — 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.
