CIK 937886
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 2026-03-31). 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 2026-03-31. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| OBERWEIS, JAMES, WALTER | CHAIRMAN, PRESIDENT, SHAREHOLDER AND DIRECTOR | 1994-11 | 50–75% ·◆ |
| OBERWEIS, JAMES, DONALD | SHAREHOLDER | 1994-09 | 10–25% |
| HANNEMANN, ERIC, VICARY | CHIEF FINANCIAL OFFICER, TREASURER | 2022-09 | <5% |
| JOYCE, THOMAS, PATRICK | CHIEF COMPLIANCE OFFICER, SECRETARY | 2022-09 | <5% |
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) |
|---|---|---|---|
| JOYCE, PATRICK, BRIAN | DIRECTOR, EXEC. V.P. · CHIEF COMPLIANCE OFFICER, DIRECTOR, CFO, EXEC. V.P., AND SECRETARY | 2022-11 | — 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.
