11/22/24 20:08 | 11/21/24 | PX | P10, Inc. | DE | Financ | InvAdv | Investment Advice | 210 Capital, LLC | TX | TH | See Rema | 1 | P.d | 137 | 13.65 | 0 | 10 | 0 | 2,339 | M | | | | | | | | | | | | | | |
11/13/24 16:31 | 11/11/24 | HLNE | Hamilton Lane Inc | DE | Financ | InvAdv | Investment Advice | Delgado-Moreira Juan | PA | DOT | Co-CEO | 1 | P.d | 106 | 201.81 | 0 | 1 | 0 | 1,287 | I | | | | | | | | | | | | | | |
11/6/24 16:30 | 8/5/24 | BX | Blackstone Inc. | DE | Financ | InvAdv | Investment Advice | Porat Ruth | NY | D | | 6 | P.m | 204 | 122.55 | 0 | 2 | 4 | 45 | M | | | | | | | | | | | | | | |
9/13/24 16:44 | 9/11/24 | BTSG | Brightspring Health Services, Inc. | E9 | Financ | InvAdv | Investment Advice | Kkr Group Partnership L.P. | NY | T | | 1 | P | 129,331 | 11.13 | 0 | 11,620 | 14 | 92,960 | I | | | | | | | | | | | | | | |
9/13/24 12:36 | 9/11/24 | BEN | Franklin Resources Inc | DE | Financ | InvAdv | Investment Advice | Johnson Charles B | CA | T | | 4 | P | 10,680 | 21.36 | 0 | 500 | 1 | 93,392 | D | | | | | | | | | | | | | | |
9/12/24 18:21 | 9/10/24 | ALTI | Alti Global, Inc. | DE | Financ | InvAdv | Investment Advice | Ilwaddi Holdings | NY | T | | 7 | P.m | 972 | 4.33 | 0 | 225 | 1 | 18,118 | I | | | | | | | | | | | | | | |
9/10/24 16:19 | 9/6/24 | APO | Apollo Global Management, Inc. | DE | Financ | InvAdv | Investment Advice | O'Neill Mitra | NY | D | | 1 | P | 100 | 108.40 | 0 | 1 | 3 | 30 | D | | | | | | | | | | | | | | |
8/30/24 16:10 | 8/28/24 | SELF | Global Self Storage, Inc. | DE | Financ | InvAdv | Investment Advice | Winmill & Co. Inc | NY | H | See "Exp | 27 | P.m | 2,187 | 11.52 | 0 | 190 | 999% | 195 | D | | | | | | | | | | | | | | |
8/30/24 08:10 | 8/28/24 | BEN | Franklin Resources Inc | DE | Financ | InvAdv | Investment Advice | Johnson Jennifer M | CA | DO | P,CEO | 2 | P | 646 | 20.44 | 0 | 32 | 1 | 5,877 | I | | | | | | | | | | | | | | |
8/20/24 14:23 | 8/16/24 | ABIO | Arca Biopharma, Inc. | Y9 | Financ | InvAdv | Investment Advice | Janus Henderson Group Plc | X0 | T | | 3 | P.m | 2,144 | 3.38 | 0 | 635 | 43 | 2,117 | I | | | | | | | | | | | | | | |
8/7/24 16:28 | 8/6/24 | APO | Apollo Global Management, Inc. | DE | Financ | InvAdv | Investment Advice | Richards Pauline | NY | D | | 1 | P | 247 | 104.92 | 0 | 2 | 3 | 86 | D | | | | | | | | | | | | | | |
7/1/24 10:22 | 6/27/24 | DHIL | Diamond Hill Investment Group Inc | OH | Financ | InvAdv | Investment Advice | Quinif Jo Ann | OH | O | P of DHC | 1 | P | 56 | 139.24 | 0 | 0 | 2 | 22 | D | | | | | | | | | | | | | | |
7/1/24 10:19 | 6/27/24 | DHIL | Diamond Hill Investment Group Inc | OH | Financ | InvAdv | Investment Advice | Brilliant Heather E | OH | DO | CEO | 2 | P.m | 125 | 143.34 | 0 | 1 | 2 | 47 | D | | | | | | | | | | | | | | |
6/25/24 19:21 | 6/21/24 | PX | P10, Inc. | DE | Financ | InvAdv | Investment Advice | McCoy David M. | TX | H | See Rema | 3 | P.m | 382 | 8.67 | 0 | 44 | 79 | 100 | D | | | | | | | | | | | | | | |
6/17/24 18:17 | 6/13/24 | PX | P10, Inc. | DE | Financ | InvAdv | Investment Advice | Charles K. Huebner Trust | TX | H | See Rema | 1 | P | 99 | 7.95 | 0 | 13 | 32 | 52 | D | | | | | | | | | | | | | | |
6/5/24 14:12 | 6/3/24 | ALTI | Alti Global, Inc. | DE | Financ | InvAdv | Investment Advice | Tiedemann Michael | NY | DO | CEO | 3 | P.dm | 973 | 4.62 | 0 | 211 | 51 | 623 | D | | | | | | | | | | | | | | |
6/4/24 09:24 | 6/3/24 | DHIL | Diamond Hill Investment Group Inc | OH | Financ | InvAdv | Investment Advice | Cooley Richard Scott | OH | D | | 1 | P | 75 | 150.00 | 0 | 1 | 6 | 8 | D | | | | | | | | | | | | | | |
5/31/24 17:52 | 5/30/24 | STEP | Stepstone Group Inc. | | Financ | InvAdv | Investment Advice | Hoffmeister David F | NY | D | | 1 | P | 997 | 44.29 | 0 | 23 | 96 | 46 | D | | | | | | | | | | | | | | |
5/16/24 21:34 | 5/14/24 | ALTI | Alti Global, Inc. | DE | Financ | InvAdv | Investment Advice | Keaney Timothy F | NY | DO | P,Asset | 1 | P.m | 384 | 4.56 | 0 | 84 | 642 | 97 | D | | | | | | | | | | | | | | |
5/13/24 17:04 | 5/9/24 | RPTX | Repare Therapeutics Inc. | DE | Financ | InvAdv | Investment Advice | Bvf Partners L P/il | CA | T | | 5 | P.dm | 29,191 | 4.98 | 0 | 5,859 | | 1,688 | D | | | | | | | | | | | | | | |
5/3/24 17:01 | 4/30/24 | SAMG | Silvercrest Asset Management Group Inc. | DE | Financ | InvAdv | Investment Advice | Long Path Smaller Companies Fund, LP | CT | T | | 2 | P | 154 | 15.05 | 0 | 10 | 1 | 941 | D | | | | | | | | | | | | | | |
4/4/24 19:50 | 4/2/24 | ALTI | Alti Global, Inc. | DE | Financ | InvAdv | Investment Advice | Furlong Mark F | NY | D | | 1 | P | 136 | 5.43 | 0 | 25 | | 25 | D | | | | | | | | | | | | | | |
3/28/24 18:23 | 3/27/24 | PX | P10, Inc. | DE | Financ | InvAdv | Investment Advice | Jensen Richard J. | TX | O | EVP,Head | 1 | P | 459 | 8.35 | 0 | 55 | | 55 | D | | | | | | | | | | | | | | |
3/14/24 16:30 | 3/13/24 | SAMG | Silvercrest Asset Management Group Inc. | DE | Financ | InvAdv | Investment Advice | Gray John Allen | NY | O | MD | 1 | P | 50 | 15.84 | 0 | 3 | 17 | 21 | D | | | | | | | | | | | | | | |
3/12/24 21:57 | 3/5/24 | PX | P10, Inc. | DE | Financ | InvAdv | Investment Advice | Blatherwick Nell M. | TX | H | See Rema | 1 | P.d | 100 | 7.98 | 0 | 13 | 3 | 430 | D | | | | | | | | | | | | | | |
2/21/24 17:05 | 2/21/24 | BX | Blackstone Inc. | DE | Financ | InvAdv | Investment Advice | Brown Reginald J | NY | D | | 2 | P | 506 | 119.38 | 0 | 4 | 33 | 17 | D | | | | | | | | | | | | | | |
2/12/24 18:23 | 2/8/24 | JSPR | Jasper Therapeutics, Inc. | DE | Financ | InvAdv | Investment Advice | Carlyle Group Inc. | DC | H | Former 1 | 1 | P | 2,461 | 12.95 | 0 | 190 | 22 | 1,066 | I | | | | | | | | | | | | | | |
12/26/23 16:12 | 12/18/23 | HNNA | Hennessy Advisors Inc | | Financ | InvAdv | Investment Advice | Hennessy Neil J | CA | DOT | CEO | 4 | P.m | 61 | 6.50 | 0 | 9 | 0 | 2,099 | I | | | | | | | | | | | | | | |
12/19/23 17:00 | 12/15/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Kelleher Thomas J /Adv | CA | O | Co-CEO | 2 | P | 904 | 31.09 | 0 | 29 | 3 | 1,037 | I | | | | | | | | | | | | | | |
12/12/23 18:52 | 8/10/21 | HNNA | Hennessy Advisors Inc | | Financ | InvAdv | Investment Advice | Hennessy Brian A | CA | D | | 1 | P.m | 39 | 10.06 | 0 | 4 | 1 | 288 | I | | | | | | | | | | | | | | |
12/12/23 18:49 | 3/7/17 | HNNA | Hennessy Advisors Inc | | Financ | InvAdv | Investment Advice | Pomilia Susan Weber | CA | D | | 1 | P | 42 | 18.29 | 0 | 2 | 2 | 117 | I | | | | | | | | | | | | | | |
11/22/23 14:09 | 11/21/23 | OAK.P | Oaktree Capital Group, LLC | DE | Financ | InvAdv | Investment Advice | Perry Mansco III | CA | D | | 1 | P | 21 | 20.70 | 0 | 1 | | 1 | D | | | | | | | | | | | | | | |
11/20/23 18:57 | 11/16/23 | ABL | Abacus Life, Inc. | DE | Financ | InvAdv | Investment Advice | Gusky Adam Samuel | FL | D | | 1 | P.m | 74 | 6.11 | 0 | 12 | 116 | 23 | D | | | | | | | | | | | | | | |
11/20/23 18:15 | 11/16/23 | ABL | Abacus Life, Inc. | DE | Financ | InvAdv | Investment Advice | McNealy Sean | FL | DOT | Co-Found | 1 | P | 2 | 6.17 | 0 | 0 | 0 | 12,594 | D | | | | | | | | | | | | | | |
11/17/23 11:34 | 11/17/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | D Agostino Robert P | CA | D | | 1 | P | 106 | 21.23 | 0 | 5 | 3 | 161 | D | | | | | | | | | | | | | | |
11/17/23 11:33 | 11/17/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Paulson Randall E | CA | D | | 3 | P | 762 | 38.11 | 0 | 20 | 7 | 319 | D | | | | | | | | | | | | | | |
11/17/23 11:31 | 11/17/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Riley Bryant R | CA | DOT | CB,Co-CE | 4 | P | 9,820 | 48.99 | 0 | 200 | 3 | 7,173 | D | | | | | | | | | | | | | | |
11/16/23 09:43 | 11/14/23 | SNCR | Synchronoss Technologies Inc | DE | Financ | InvAdv | Investment Advice | B. Riley Financial, Inc. | CA | T | | 3 | P.m | 470 | 0.5866 | 0 | 802 | 2 | 41,825 | I | | | | | | | | | | | | | | |
11/13/23 15:07 | 11/10/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Labran Renee E | CA | D | | 1 | P.m | 20 | 22.63 | 0 | 1 | 16 | 7 | D | | | | | | | | | | | | | | |
11/13/23 08:00 | 11/10/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Antin Robert L | CA | D | | 1 | P | 644 | 25.75 | 0 | 25 | 6 | 470 | D | | | | | | | | | | | | | | |
11/13/23 08:00 | 11/9/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Brandt Tamara Sue | CA | D | | 1 | P | 50 | 30.64 | 0 | 2 | 36 | 6 | D | | | | | | | | | | | | | | |
11/7/23 16:30 | 11/3/23 | APO | Apollo Global Management, Inc. | DE | Financ | InvAdv | Investment Advice | Krongard A B | NY | D | | 1 | P | 87 | 85.95 | 0 | 1 | 0 | 441 | D | | | | | | | | | | | | | | |
10/20/23 18:27 | 10/18/23 | FYBR | Frontier Communications Parent, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | 7 | P.m | 12,621 | 15.63 | 0 | 807 | 2 | 38,913 | I | | | | | | | | | | | | | | |
9/25/23 19:59 | 9/21/23 | CART | Maplebear Inc. | DE | Financ | InvAdv | Investment Advice | Gcm Grosvenor Inc. | IL | H | See Expl | 1 | P.d | 1,800 | 30.00 | 0 | 60 | 1 | 9,005 | I | | | | | | | | | | | | | | |
9/21/23 21:21 | 9/19/23 | CART | Maplebear Inc. | DE | Financ | InvAdv | Investment Advice | Grosvenor Capital Management, L.P. | IL | H | See Expl | 1 | P | 190 | 30.00 | 0 | 6 | | 0 | I | | | | | | | | | | | | | | |
9/14/23 16:05 | 9/12/23 | CCIF | Carlyle Credit Income Fund | DE | Financ | InvAdv | Investment Advice | Cg Subsidiary Holdings L.L.C. | DC | T | | 2 | P.d | 40,000 | 8.36 | 0 | 4,786 | | 4,786 | D | | | | | | | | | | | | | | |
8/24/23 16:04 | 8/23/23 | ABL | Abacus Life, Inc. | DE | Financ | InvAdv | Investment Advice | Schulte Mary Beth | FL | D | | 1 | P | 101 | 7.73 | 0 | 13 | | 13 | I | | | | | | | | | | | | | | |
8/17/23 20:27 | 8/15/23 | ARES | Ares Management Corp | DE | Financ | InvAdv | Investment Advice | Bhutani Ashish | CA | D | | 1 | P | 981 | 98.08 | 0 | 10 | 577 | 12 | D | | | | | | | | | | | | | | |
7/27/23 17:00 | 7/26/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Moore Andrew | CA | O | CEO B. R | 2 | P | 550 | 55.00 | 0 | 10 | 3 | 380 | D | | | | | | | | | | | | | | |
7/25/23 16:28 | 7/21/23 | TGAN | Transphorm, Inc. | E9 | Financ | InvAdv | Investment Advice | Kkr Phorm Investors L.P. | NY | T | | 1 | P | 5,729 | 3.30 | 0 | 1,736 | 8 | 24,412 | I | | | | | | | | | | | | | | |