CIK 931097
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 2026-03-12). 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 2026-03-12. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| ANTLEY, CHRISTOPHER, WILSON | SENIOR VICE PRESIDENT | 2019-03 | <5% ·◆ |
| Antonovich, Amanda, Cary | TRUSTEE OF THE BIG DOG FAMILY PRESERVATION TRUST, MEMBER, TREASURER, DIRECTOR, TRUSTEE OF THE FOWLER CARY FAMILY TRUST | 2019-02 | <5% ·◆ |
| BURKETT, MICHAEL, ANTHONY | CHIEF OPERATING OFFICER, CHIEF INVESTMENT OFFICER, DIRECTOR | 2025-03 | <5% ·◆ |
| CARIMI, ANTHONY, FRANKLIN | VICE PRESIDENT | 2022-04 | <5% ·◆ |
| Cary, Carlynn, Elizabeth | TRUSTEE OF THE BIG DOG FAMILY PRESERVATION TRUST, MEMBER, SECRETARY, DIRECTOR, TRUSTEE OF THE FOWLER CARY FAMILY TRUST | 2019-02 | <5% ·◆ |
| KEY, ROBERT, FRAZER | SENIOR CLIENT ADVISOR, DIRECTOR | 2019-03 | <5% ·◆ |
| Kirkland, Stephen, Dele | TRUSTEE OF THE BIG DOG FAMILY PRESERVATION TRUST, CHAIRMAN | 2019-02 | <5% ·◆ |
| LEVEQUE, CHRISTIAN, JOHN | SENIOR VICE PRESIDENT, CHIEF FIXED INCOME STRATEGIST | 2023-03 | <5% ·◆ |
| LINDEN, RICHARD, JOSEPH | CHIEF COMPLIANCE OFFICER, PRESIDENT, DIRECTOR | 2025-03 | <5% ·◆ |
| BIG DOG FAMILY PRESERVATION TRUST U/A DATED DECEMBER 31. 2012entity | OWNER,MEMBER | 2012-12 | 50–75% ·◆ |
| FOWLER CARY FAMILY TRUSTentity | OWNER, MEMBER | 2020-08 | 25–50% ·◆ |
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) |
|---|---|---|---|
| BULLOCK, DIXIE, SMITH | VICE PRESIDENT | 2024-10 | — not seen at a tracked firm |
| FULMER, AUSTIN, SCOTT | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT · CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR OF TRADING · VICE PRESIDENT, DIRECTOR OF TRADING · VICE PRESIDENT, MIS DIRECTOR · ASSISTANT VICE PRESIDENT | 2024-03 | — not seen at a tracked firm |
| LEAPHART, JOHN | CHIEF COMPLIANCE OFFICER · COMPLIANCE OFFICER | 2022-05 | — not seen at a tracked firm |
| GILTNER, JOE, HARVEY | VICE PRESIDENT, CHIEF ECONOMIC STRATEGIST · VICE PRESIDENT · ASSISTANT VICE PRESIDENT | 2019-03 | — not seen at a tracked firm |
| CARY, FOWLER, WILLIAM | PRESIDENT, CEO, MANAGING MEMBER · PRESIDENT, CHIEF COMPLIANCE OFFICER, MANAGING MEMBER | 2018-03 | — not seen at a tracked firm |
| RHODES, REBECCA, FOLLINE | REGIONAL MARKETING DIRECTOR | 2018-03 | — 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.
