CIK 914976
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 2026-03-27). 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 2026-03-27. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| VINICK, MELISSA | PRINCIPAL | 1997-12 | 10–25% ·◆ |
| GOLDBERG, CHAD, ANDREW | PRINCIPAL AND TRUSTEE OF THE CG REVOCABLE TRUST | 2012-07 | <5% ·◆ |
| HOFFMANN, ELISE, JORDAN | PRINCIPAL AND TRUSTEE OF THE EH REVOCABLE TRUST | 1996-10 | <5% ·◆ |
| NIEMCZEWSKI, CHRISTOPHER, MARTIN | PRINCIPAL AND TRUSTEE OF THE CN REVOCABLE TRUST | 1993-02 | <5% ·◆ |
| SMITH, JARRON, HAMPTON | CHIEF OPERATING OFFICER | 2025-09 | <5% ·◆ |
| WALKER, BRIAN, EDWARD | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 2022-01 | <5% ·◆ |
| BECKER, JUDITH, GOLDEN | PRINCIPAL | 2023-03 | <5% |
| BRINER, MATTHEW, NOAH | PRINCIPAL | 2025-03 | <5% |
| MILLER, CAROLYN, SUE | PRINCIPAL | 1996-10 | <5% |
| STOTT, WILLIAM, GILMORE | PRINCIPAL | 1993-02 | <5% |
| CHRISTOPHER M. NIEMCZEWSKI REVOCABLE TRUST U/A DTD JUNE 6, 2014 ("CN REVOCABLE TRUST")entity | SHAREHOLDER | 2014-06 | 50–75% |
| CHAD GOLDBERG REVOCABLE TRUST U/A DTD JANUARY 10, 2024 ("CG REVOCABLE TRUST")entity | SHAREHOLDER | 2024-07 | 10–25% |
| ELISE HOFFMANN REVOCABLE TRUST U/A DTD JUNE 6, 2014 ("EH REVOCABLE TRUST")entity | SHAREHOLDER | 2014-06 | 10–25% |
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) |
|---|---|---|---|
| VINICK, KIMBERLY | PRINCIPAL · DIRECTOR OF OPERATIONS / CHIEF COMPLIANCE OFFICER · DIRECTOR OF OPERATIONS · CHIEF COMPLIANCE OFFICER | 2023-05 | — not seen at a tracked firm |
| JOHNSTON, CARMEN, LYNNE | CHIEF COMPLIANCE OFFICER | 2021-03 | — not seen at a tracked firm |
| BEATSON, JOHN, HERBERT | PRINCIPAL | 2018-08 | Sepio Capital, LP |
| ODENIRAN, OLAYINKA, ABENY | CHIEF COMPLIANCE OFFICER | 2014-03 | — 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.
