CIK 902584
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 2026-03-20). 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 2026-03-20. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| SWAIM, MATTHEW, KENT | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2019-09 | <5% ·◆ |
| ZESSAR, BRUCE, MICHAEL | CHIEF COMPLIANCE OFFICER, CORPORATE SECRETARY AND MANAGING DIRECTOR | 2019-10 | <5% ·◆ |
| OSTARA HOLDCO, INC.entity | OWNER | 2019-10 | 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) |
|---|---|---|---|
| DUNN, MEGAN, MARGARET CROAL | CHIEF COMPLIANCE OFFICER | 2023-12 | — not seen at a tracked firm |
| BAEG, GINA | CHIEF FINANCIAL OFFICER AND DIRECTOR | 2023-03 | — not seen at a tracked firm |
| FREEMAN, ELLEN, DRINAN | CHIEF OPERATING OFFICER, AND DIRECTOR · CHIEF OPERATING OFFICER AND DIRECTOR | 2020-11 | — not seen at a tracked firm |
| PETTIT, KENTON, KELLER | CHIEF COMPLIANCE OFFICER | 2020-06 | — not seen at a tracked firm |
| STEINER, SUSAN, LYNN | CHIEF COMPLIANCE OFFICER | 2019-10 | — not seen at a tracked firm |
| SCHONEMAN, DEBBRA LYNN | DIRECTOR · CHIEF FINANCIAL OFFICER | 2019-03 | PIPER SANDLER & CO. |
| MORET, LAURA, MARIE | CHIEF LEGAL OFFICER | 2019-03 | — not seen at a tracked firm |
| CUNNANE, JAMES, JOSEPH | DIRECTOR AND CHIEF INVESTMENT OFFICER OF MLP INVESTMENT TEAM | 2019-03 | — not seen at a tracked firm |
| CRAWSHAW, CHRISTOPHER, DYSON | PRESIDENT AND CHIEF EXECUTIVE OFFICER · SECRETARY AND PRESIDENT · SECRETARY AND MANAGING DIRECTOR | 2017-05 | — not seen at a tracked firm |
| SMITH, THOMAS, GREGORY | BOARD MEMBER | 2017-05 | — not seen at a tracked firm |
| CALBY, HEATHER, L. | CHIEF FINANCIAL OFFICER | 2015-03 | — not seen at a tracked firm |
| OBRIEN, BRIEN, MICHAEL | CEO AND CHAIRMAN | 2013-04 | — not seen at a tracked firm |
| HOPFENSPERGER, CARI, ANN | CHIEF COMPLIANCE OFFICER | 2012-03 | TOWLE & CO |
| HELLER, DAVID, BRUNO | PRESIDENT | 2011-12 | — 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.
