CIK 919497
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 2026-05-04). 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 2026-05-04. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| SARGENT, JOHN, K. | CHIEF EXECUTIVE OFFICER; MANAGING DIRECTOR | 2016-07 | 5–10% ·◆ |
| BRUCH, ROBERT, GUY | CHIEF INVESTMENT OFFICER | 2019-07 | <5% ·◆ |
| MCCORMACK, MARIA | MANAGING DIRECTOR | 2006-06 | <5% ·◆ |
| MERKLE, CHRISTOPHER, PRINZ | CHIEF COMPLIANCE OFFICER | 2025-04 | <5% |
| MIDDLETON & COMPANY EMPLOYEE STOCK OWNERSHIP TRUSTentity | TRUST | 2004-03 | 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) |
|---|---|---|---|
| WALSH, ALICE, KENNEY | BOARD CHAIRMAN; MANAGING DIRECTOR · BOARD CHAIRMAN; MANAGING DIRECTOR; DIRECTOR · MANAGING DIRECTOR; DIRECTOR | 2024-03 | — not seen at a tracked firm |
| BOWERS, DOROTHY, ADRIENNE | CHIEF OPERATING OFFICER | 2023-04 | — not seen at a tracked firm |
| SCOTTI, DONNA, MARIE | MANAGING DIRECTOR | 2022-03 | — not seen at a tracked firm |
| GUTTERSON, ERIC, NORMAN | MANAGING DIRECTOR; DIRECTOR · MANAGING DIRECTOR | 2019-03 | — not seen at a tracked firm |
| WIELAND, JOHN, W, | MANAGING DIRECTOR; DIRECTOR · CHIEF EXECUTIVE OFFICER; MANAGING DIRECTOR; DIRECTOR | 2016-09 | — not seen at a tracked firm |
| HIBBARD, STEPHEN, TODD | DIRECTOR | 2013-03 | — 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.
