4/4/24 19:50 | 4/2/24 | ALTI | Alti Global, Inc. | DE | Financ | InvAdv | Investment Advice | Furlong Mark F | NY | D | | P | 136 | 5.43 | 0 | 25 | New | 25 | D | | | | | | | | | | | | | | |
4/4/24 16:15 | 4/2/24 | ALTI | Alti Global, Inc. | DE | Financ | InvAdv | Investment Advice | Ilwaddi Cayman Holdings | NY | T | | P.m | 203 | 5.07 | 0 | 40 | 0 | 17,933 | I | | | | | | | | | | | | | | |
3/28/24 18:23 | 3/27/24 | PX | P10, Inc. | DE | Financ | InvAdv | Investment Advice | Jensen Richard J. | TX | O | EVP,Head | P | 459 | 8.35 | 0 | 55 | New | 55 | D | | | | | | | | | | | | | | |
3/27/24 15:46 | 3/25/24 | PX | P10, Inc. | DE | Financ | InvAdv | Investment Advice | McCoy David M. | TX | H | See Rema | P | 81 | 8.12 | 0 | 10 | 14 | 80 | 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 | 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 | 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 | | P | 302 | 125.63 | 0 | 2 | 16 | 17 | D | | | | | | | | | | | | | | |
2/14/24 16:53 | 2/12/24 | BX | Blackstone Inc. | DE | Financ | InvAdv | Investment Advice | Porat Ruth | NY | D | | P | 37 | 127.01 | 0 | 0 | 1 | 43 | M | | | | | | | | | | | | | | |
2/12/24 18:23 | 2/8/24 | JSPR | Jasper Therapeutics, Inc. | DE | Financ | InvAdv | Investment Advice | Carlyle Group Inc. | DC | H | Former 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 | P | 4 | 6.50 | 0 | 1 | 0 | 2,079 | I | | | | | | | | | | | | | | |
12/20/23 16:04 | 12/19/23 | HNNA | Hennessy Advisors Inc | | Financ | InvAdv | Investment Advice | Hennessy Neil J | CA | DOT | CEO | P | 1 | 6.50 | 0 | 0 | 0 | 2,049 | 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 | P | 404 | 20.22 | 0 | 20 | 2 | 1,037 | I | | | | | | | | | | | | | | |
12/18/23 17:23 | 12/15/23 | HNNA | Hennessy Advisors Inc | | Financ | InvAdv | Investment Advice | Hennessy Neil J | CA | DOT | CEO | P.m | 10 | 6.50 | 0 | 2 | 0 | 2,099 | I | | | | | | | | | | | | | | |
12/13/23 18:06 | 12/12/23 | HNNA | Hennessy Advisors Inc | | Financ | InvAdv | Investment Advice | Hennessy Neil J | CA | DOT | CEO | P | 47 | 6.50 | 0 | 7 | 0 | 2,097 | I | | | | | | | | | | | | | | |
12/12/23 18:52 | 8/10/21 | HNNA | Hennessy Advisors Inc | | Financ | InvAdv | Investment Advice | Hennessy Brian A | CA | D | | 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 | | P | 42 | 18.29 | 0 | 2 | 2 | 117 | I | | | | | | | | | | | | | | |
11/28/23 17:10 | 11/14/23 | PX | P10, Inc. | DE | Financ | InvAdv | Investment Advice | McCoy David M. | TX | DTH | See Rema | P.m | 136 | 9.73 | 0 | 14 | 55 | 39 | D | | | | | | | | | | | | | | |
11/22/23 14:09 | 11/21/23 | OAK.P | Oaktree Capital Group, LLC | DE | Financ | InvAdv | Investment Advice | Perry Mansco III | CA | D | | P | 21 | 20.70 | 0 | 1 | New | 1 | D | | | | | | | | | | | | | | |
11/20/23 18:57 | 11/16/23 | ABL | Abacus Life, Inc. | DE | Financ | InvAdv | Investment Advice | Gusky Adam Samuel | FL | D | | P.m | 74 | 6.10 | 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 | P | 2 | 6.17 | 0 | 0 | 0 | 12,594 | D | | | | | | | | | | | | | | |
11/17/23 16:54 | 11/15/23 | RPTX | Repare Therapeutics Inc. | DE | Financ | InvAdv | Investment Advice | Bvf Partners L P/il | CA | T | | P.m | 6,250 | 5.09 | 0 | 1,227 | | 549 | 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 | | 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 | | P | 212 | 21.23 | 0 | 10 | 3 | 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 | P | 637 | 21.23 | 0 | 30 | 0 | 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 | | P | 33 | 0.4500 | 0 | 74 | 1 | 13,648 | I | | | | | | | | | | | | | | |
11/16/23 09:23 | 11/14/23 | BW | Babcock & Wilcox Enterprises, Inc. | DE | Financ | InvAdv | Investment Advice | B. Riley Financial, Inc. | CA | T | | P | 183 | 1.16 | 0 | 158 | 1 | 28,177 | I | | | | | | | | | | | | | | |
11/14/23 12:19 | 11/10/23 | SNCR | Synchronoss Technologies Inc | DE | Financ | InvAdv | Investment Advice | B. Riley Financial, Inc. | CA | T | | P.m | 254 | 0.4460 | 0 | 570 | 4 | 13,574 | I | | | | | | | | | | | | | | |
11/13/23 15:07 | 11/10/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Labran Renee E | CA | D | | 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 | | 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 | | P | 50 | 30.64 | 0 | 2 | 36 | 6 | D | | | | | | | | | | | | | | |
11/7/23 17:09 | 11/6/23 | BX | Blackstone Inc. | DE | Financ | InvAdv | Investment Advice | Porat Ruth | NY | D | | P | 31 | 100.59 | 0 | 0 | 1 | 42 | M | | | | | | | | | | | | | | |
11/7/23 16:30 | 11/3/23 | APO | Apollo Global Management, Inc. | DE | Financ | InvAdv | Investment Advice | Krongard A B | NY | D | | P | 87 | 85.95 | 0 | 1 | 0 | 441 | D | | | | | | | | | | | | | | |
11/6/23 18:07 | 11/2/23 | KYMR | Kymera Therapeutics, Inc. | DE | Financ | InvAdv | Investment Advice | Bvf Partners L P/Il | CA | DH | See Rema | P.dm | 5,301 | 12.80 | 0 | 414 | | 295 | D | | | | | | | | | | | | | | |
11/3/23 17:37 | 11/2/23 | RPTX | Repare Therapeutics Inc. | DE | Financ | InvAdv | Investment Advice | Bvf Partners L P/il | CA | T | | P | 2,821 | 3.60 | 0 | 784 | | 485 | D | | | | | | | | | | | | | | |
11/3/23 15:25 | 11/2/23 | DHIL | Diamond Hill Investment Group Inc | OH | Financ | InvAdv | Investment Advice | Brilliant Heather E | OH | DO | CEO | P | 49 | 149.48 | 0 | 0 | 1 | 42 | D | | | | | | | | | | | | | | |
10/20/23 18:27 | 10/18/23 | FYBR | Frontier Communications Parent, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P | 2,839 | 18.93 | 0 | 150 | 0 | 38,913 | I | | | | | | | | | | | | | | |
10/4/23 16:28 | 10/2/23 | FYBR | Frontier Communications Parent, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P | 2,219 | 14.80 | 0 | 150 | 0 | 38,763 | I | | | | | | | | | | | | | | |
9/25/23 19:59 | 9/21/23 | CART | Maplebear Inc. | DE | Financ | InvAdv | Investment Advice | Gcm Grosvenor Inc. | IL | H | See Expl | P.d | 1,800 | 30.00 | 0 | 60 | 1 | 9,005 | I | | | | | | | | | | | | | | |
9/22/23 19:00 | 9/21/23 | BX | Blackstone Inc. | DE | Financ | InvAdv | Investment Advice | Brown Reginald J | NY | D | | P | 205 | 111.24 | 0 | 2 | 14 | 15 | D | | | | | | | | | | | | | | |
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 | P | 190 | 30.00 | 0 | 6 | | 0 | I | | | | | | | | | | | | | | |
9/19/23 16:24 | 9/15/23 | FYBR | Frontier Communications Parent, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P | 1,479 | 14.79 | 0 | 100 | 0 | 38,613 | I | | | | | | | | | | | | | | |
9/14/23 16:25 | 9/12/23 | OLMA | Olema Pharmaceuticals, Inc. | DE | Financ | InvAdv | Investment Advice | Bvf Partners L P/il | CA | DT | | P.d | 14,818 | 9.84 | 0 | 1,506 | | 624 | M | | | | | | | | | | | | | | |
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 | | P | 10,816 | 8.52 | 0 | 1,270 | 36 | 4,786 | D | | | | | | | | | | | | | | |
9/13/23 16:03 | 9/11/23 | FYBR | Frontier Communications Parent, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P | 2,177 | 14.52 | 0 | 150 | 0 | 38,513 | I | | | | | | | | | | | | | | |
8/30/23 21:52 | 8/28/23 | FYBR | Frontier Communications Parent, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P | 111 | 14.94 | 0 | 7 | 0 | 38,363 | I | | | | | | | | | | | | | | |
8/30/23 17:33 | 8/28/23 | CCIF | Carlyle Credit Income Fund | DE | Financ | InvAdv | Investment Advice | Cg Subsidiary Holdings L.L.C. | DC | T | | P.d | 29,184 | 8.30 | 0 | 3,516 | New | 3,516 | M | | | | | | | | | | | | | | |
8/28/23 16:04 | 8/24/23 | FYBR | Frontier Communications Parent, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P | 574 | 15.27 | 0 | 38 | 0 | 38,355 | I | | | | | | | | | | | | | | |
8/24/23 19:05 | 8/22/23 | FYBR | Frontier Communications Parent, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P.m | 3,223 | 15.17 | 0 | 212 | 1 | 38,318 | I | | | | | | | | | | | | | | |
8/24/23 16:04 | 8/23/23 | ABL | Abacus Life, Inc. | DE | Financ | InvAdv | Investment Advice | Schulte Mary Beth | FL | D | | P | 101 | 7.73 | 0 | 13 | New | 13 | I | | | | | | | | | | | | | | |
8/22/23 09:30 | 8/21/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Riley Bryant R | CA | DOT | CB,Co-CE | P | 1,183 | 47.31 | 0 | 25 | 0 | 7,141 | D | | | | | | | | | | | | | | |
8/17/23 20:27 | 8/15/23 | ARES | Ares Management Corp | DE | Financ | InvAdv | Investment Advice | Bhutani Ashish | CA | D | | P | 981 | 98.08 | 0 | 10 | 577 | 12 | D | | | | | | | | | | | | | | |
8/9/23 17:47 | 8/7/23 | BX | Blackstone Inc. | DE | Financ | InvAdv | Investment Advice | Porat Ruth | NY | D | | P.m | 31 | 103.51 | 0 | 0 | 1 | 42 | M | | | | | | | | | | | | | | |
7/27/23 17:00 | 7/26/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Riley Bryant R | CA | DOT | CB,Co-CE | P.a | 4,000 | 55.00 | 0 | 73 | 1 | 6,724 | D | | | | | | | | | | | | | | |
7/27/23 17:00 | 7/26/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Paulson Randall E | CA | D | | P.a | 275 | 55.00 | 0 | 5 | 2 | 309 | 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 | P.a | 275 | 55.00 | 0 | 5 | 1 | 380 | D | | | | | | | | | | | | | | |
7/27/23 08:55 | 7/26/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Kelleher Thomas J /Adv | CA | O | Co-CEO | P | 500 | 55.00 | 0 | 9 | 1 | 983 | M | | | | | | | | | | | | | | |
7/26/23 12:04 | 7/25/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Riley Bryant R | CA | DOT | CB,Co-CE | P | 4,000 | 55.00 | 0 | 73 | 1 | 7,116 | D | | | | | | | | | | | | | | |
7/26/23 12:01 | 7/25/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Paulson Randall E | CA | D | | P | 275 | 55.00 | 0 | 5 | 2 | 309 | D | | | | | | | | | | | | | | |
7/26/23 11:58 | 7/25/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Moore Andrew | CA | O | CEO B. R | P | 275 | 55.00 | 0 | 5 | 1 | 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 | | P | 5,729 | 3.30 | 0 | 1,736 | 8 | 24,412 | I | | | | | | | | | | | | | | |
6/27/23 12:09 | 6/26/23 | BW | Babcock & Wilcox Enterprises, Inc. | DE | Financ | InvAdv | Investment Advice | B. Riley Financial, Inc. | CA | T | | P.m | 578 | 5.78 | 0 | 100 | 0 | 28,019 | D | | | | | | | | | | | | | | |
6/23/23 21:30 | 6/21/23 | AREN | Arena Group Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | B. Riley Financial, Inc. | CA | T | | P.dm | 888 | 3.62 | 0 | 245 | 3 | 7,265 | M | | | | | | | | | | | | | | |
6/23/23 17:58 | 6/22/23 | HNNA | Hennessy Advisors Inc | | Financ | InvAdv | Investment Advice | Hennessy Neil J | CA | DOT | CEO | P.m | 13 | 7.09 | 0 | 2 | 0 | 2,078 | D | | | | | | | | | | | | | | |
6/21/23 17:26 | 6/20/23 | HNNA | Hennessy Advisors Inc | | Financ | InvAdv | Investment Advice | Hennessy Neil J | CA | DOT | CEO | P.m | 13 | 7.10 | 0 | 2 | 0 | 2,076 | D | | | | | | | | | | | | | | |
6/20/23 21:30 | 6/15/23 | AREN | Arena Group Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | B. Riley Financial, Inc. | CA | T | | P.dm | 83 | 3.50 | 0 | 24 | 0 | 7,020 | I | | | | | | | | | | | | | | |
6/16/23 16:26 | 6/14/23 | AMPS | Altus Power, Inc. | DE | Financ | InvAdv | Investment Advice | Gso Altus Holdings LP | NY | T | | P | 246 | 5.47 | 0 | 45 | 0 | 21,116 | I | | | | | | | | | | | | | | |
6/15/23 09:00 | 6/13/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Riley Bryant R | CA | DOT | CB,Co-CE | P | 235 | 37.91 | 0 | 6 | 0 | 7,043 | D | | | | | | | | | | | | | | |
6/12/23 18:04 | 6/8/23 | AMPS | Altus Power, Inc. | DE | Financ | InvAdv | Investment Advice | Gso Altus Holdings LP | NY | T | | P | 299 | 5.25 | 0 | 57 | 0 | 21,071 | I | | | | | | | | | | | | | | |
6/8/23 18:18 | 6/6/23 | AMPS | Altus Power, Inc. | DE | Financ | InvAdv | Investment Advice | Gso Altus Holdings LP | NY | T | | P.m | 1,315 | 5.50 | 0 | 239 | 1 | 21,014 | I | | | | | | | | | | | | | | |
6/7/23 09:00 | 6/6/23 | BW | Babcock & Wilcox Enterprises, Inc. | DE | Financ | InvAdv | Investment Advice | B. Riley Financial, Inc. | CA | T | | P | 221 | 5.51 | 0 | 40 | 0 | 27,919 | M | | | | | | | | | | | | | | |
6/5/23 18:27 | 6/1/23 | STEP | Stepstone Group Inc. | | Financ | InvAdv | Investment Advice | McCabe Michael I | NY | DOH | Head of | P.m | 2,214 | 23.31 | 0 | 95 | 3 | 3,775 | D | | | | | | | | | | | | | | |
6/2/23 12:05 | 6/2/23 | BW | Babcock & Wilcox Enterprises, Inc. | DE | Financ | InvAdv | Investment Advice | B. Riley Financial, Inc. | CA | T | | P | 86 | 5.05 | 0 | 17 | 0 | 27,879 | M | | | | | | | | | | | | | | |
5/31/23 21:30 | 5/26/23 | AREN | Arena Group Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | B. Riley Financial, Inc. | CA | T | | P.d | 70 | 3.45 | 0 | 20 | 0 | 6,997 | D | | | | | | | | | | | | | | |
5/31/23 18:46 | 5/30/23 | STEP | Stepstone Group Inc. | | Financ | InvAdv | Investment Advice | McCabe Michael I | NY | DOH | Head of | P.m | 1,718 | 21.47 | 0 | 80 | 2 | 3,680 | D | | | | | | | | | | | | | | |
5/30/23 16:04 | 5/25/23 | HNNA | Hennessy Advisors Inc | | Financ | InvAdv | Investment Advice | Hennessy Neil J | CA | DO | CEO | P.m | 21 | 6.89 | 0 | 3 | 0 | 2,075 | D | | | | | | | | | | | | | | |
5/24/23 21:30 | 5/22/23 | AREN | Arena Group Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | B. Riley Financial, Inc. | CA | T | | P.d | 9 | 3.45 | 0 | 3 | 0 | 6,976 | D | | | | | | | | | | | | | | |
5/24/23 18:04 | 5/23/23 | HNNA | Hennessy Advisors Inc | | Financ | InvAdv | Investment Advice | Hennessy Neil J | CA | DOT | CEO | P.m | 51 | 6.85 | 0 | 8 | 0 | 2,072 | D | | | | | | | | | | | | | | |
5/23/23 11:19 | 5/19/23 | HNNA | Hennessy Advisors Inc | | Financ | InvAdv | Investment Advice | Hennessy Neil J | CA | DOT | CEO | P.m | 83 | 6.90 | 0 | 12 | 1 | 2,064 | D | | | | | | | | | | | | | | |
5/19/23 21:30 | 5/17/23 | AREN | Arena Group Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | B. Riley Financial, Inc. | CA | T | | P.dm | 29 | 3.45 | 0 | 8 | 0 | 6,974 | D | | | | | | | | | | | | | | |
5/17/23 20:18 | 5/16/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Riley Bryant R | CA | DOT | CB,Co-CE | P.a | 659 | 32.95 | 0 | 20 | 0 | 6,666 | D | | | | | | | | | | | | | | |
5/17/23 10:56 | 5/16/23 | AREN | Arena Group Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | B. Riley Financial, Inc. | CA | T | | P.d | 179 | 3.57 | 0 | 50 | 1 | 6,965 | D | | | | | | | | | | | | | | |
5/16/23 20:46 | 5/12/23 | ARES | Ares Management Corp | DE | Financ | InvAdv | Investment Advice | Bush Antoinette Cook | CA | D | | P | 101 | 81.69 | 0 | 1 | 7 | 18 | D | | | | | | | | | | | | | | |
5/16/23 15:20 | 5/16/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Riley Bryant R | CA | DOT | CB,Co-CE | P | 659 | 32.95 | 0 | 20 | 0 | 7,030 | D | | | | | | | | | | | | | | |
5/16/23 09:00 | 5/12/23 | BW | Babcock & Wilcox Enterprises, Inc. | DE | Financ | InvAdv | Investment Advice | B. Riley Financial, Inc. | CA | T | | P.m | 578 | 5.44 | 0 | 106 | 0 | 27,862 | M | | | | | | | | | | | | | | |
5/10/23 16:53 | 5/8/23 | BX | Blackstone Inc. | DE | Financ | InvAdv | Investment Advice | Porat Ruth | NY | D | | P | 30 | 82.74 | 0 | 0 | 1 | 39 | M | | | | | | | | | | | | | | |
5/9/23 20:25 | 5/5/23 | ELDN | Eledon Pharmaceuticals, Inc. | DE | Financ | InvAdv | Investment Advice | Bvf Partners L P/il | CA | T | | P.d | 0 | 0.00 | 0 | 1,979 | | 145 | D | | | | | | | | | | | | | | |
5/8/23 16:02 | 5/4/23 | FYBR | Frontier Communications Parent, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P.m | 7,579 | 21.00 | 0 | 361 | 1 | 38,105 | I | | | | | | | | | | | | | | |
5/8/23 12:50 | 5/8/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Riley Bryant R | CA | DOT | CB,Co-CE | P | 866 | 34.66 | 0 | 25 | 0 | 7,010 | D | | | | | | | | | | | | | | |
5/2/23 18:53 | 4/28/23 | FBSPX | Franklin Bsp Private Credit Fund | DE | Financ | InvAdv | Investment Advice | Franklin Resources Inc | CA | TH | Affiliat | P | 25,000 | 10.14 | 0 | 2,465 | 99 | 4,965 | I | | | | | | | | | | | | | | |
4/27/23 16:02 | 4/25/23 | FYBR | Frontier Communications Parent, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P | 5,389 | 21.56 | 0 | 250 | 1 | 37,745 | I | | | | | | | | | | | | | | |
4/24/23 16:08 | 4/20/23 | FYBR | Frontier Communications Parent, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P | 4,169 | 20.85 | 0 | 200 | 1 | 37,495 | I | | | | | | | | | | | | | | |
4/18/23 18:29 | 4/14/23 | FYBR | Frontier Communications Parent, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P | 4,288 | 21.44 | 0 | 200 | 1 | 37,295 | I | | | | | | | | | | | | | | |
4/17/23 13:41 | 4/13/23 | ALTG | Alta Equipment Group Inc. | DE | Financ | InvAdv | Investment Advice | B. Riley Financial, Inc. | CA | T | | P.m | 1,156 | 13.76 | 0 | 84 | 1 | 6,769 | I | | | | | | | | | | | | | | |
4/13/23 11:55 | 4/11/23 | AREN | Arena Group Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | B. Riley Financial, Inc. | CA | T | | P.d | 76 | 3.93 | 0 | 19 | 0 | 6,915 | D | | | | | | | | | | | | | | |
4/6/23 21:30 | 4/5/23 | AREN | Arena Group Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | B. Riley Financial, Inc. | CA | T | | P.d | 33 | 3.48 | 0 | 9 | 0 | 6,896 | D | | | | | | | | | | | | | | |
4/6/23 21:30 | 4/4/23 | ALTG | Alta Equipment Group Inc. | DE | Financ | InvAdv | Investment Advice | B. Riley Financial, Inc. | CA | T | | P.m | 752 | 13.67 | 0 | 55 | 1 | 6,685 | I | | | | | | | | | | | | | | |
4/4/23 17:35 | 3/31/23 | FOA | Finance of America Companies Inc. | DE | Financ | InvAdv | Investment Advice | Blackstone Holdings III L.P. | NY | T | | P.d | 15,000 | 1.38 | 0 | 10,870 | 80 | 24,387 | I | | | | | | | | | | | | | | |
4/4/23 17:03 | 3/31/23 | CQP | Cheniere Energy Partners, L.P. | DE | Financ | InvAdv | Investment Advice | Blackstone Holdings III L.P. | NY | T | | P.m | 1,311 | 47.32 | 0 | 28 | 0 | 203,365 | I | | | | | | | | | | | | | | |
3/31/23 18:14 | 3/29/23 | FYBR | Frontier Communications Parent, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P | 2,943 | 21.09 | 0 | 140 | 0 | 37,095 | I | | | | | | | | | | | | | | |
3/31/23 16:30 | 3/29/23 | CQP | Cheniere Energy Partners, L.P. | DE | Financ | InvAdv | Investment Advice | Blackstone Holdings III L.P. | NY | T | | P.m | 4,547 | 47.13 | 0 | 96 | 0 | 203,357 | I | | | | | | | | | | | | | | |
3/31/23 09:19 | 3/31/23 | AREN | Arena Group Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | B. Riley Financial, Inc. | CA | T | | P.d | 3,915 | 3.88 | 0 | 1,009 | 17 | 6,887 | M | | | | | | | | | | | | | | |
3/29/23 19:37 | 3/27/23 | CQP | Cheniere Energy Partners, L.P. | DE | Financ | InvAdv | Investment Advice | Blackstone Holdings III L.P. | NY | T | | P.m | 3,490 | 46.07 | 0 | 76 | 0 | 203,330 | I | | | | | | | | | | | | | | |
3/29/23 16:05 | 3/27/23 | FYBR | Frontier Communications Parent, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P.m | 26,407 | 21.13 | 0 | 1,250 | 4 | 36,955 | I | | | | | | | | | | | | | | |
3/20/23 08:59 | 3/17/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Paulson Randall E | CA | D | | P | 299 | 29.90 | 0 | 10 | 3 | 302 | D | | | | | | | | | | | | | | |
3/20/23 08:55 | 3/17/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Riley Bryant R | CA | DOT | CB,Co-CE | P | 747 | 29.90 | 0 | 25 | 0 | 7,007 | D | | | | | | | | | | | | | | |
3/20/23 08:36 | 3/16/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Antin Robert L | CA | D | | P.m | 544 | 30.22 | 0 | 18 | 4 | 443 | D | | | | | | | | | | | | | | |
3/17/23 16:23 | 3/15/23 | FYBR | Frontier Communications Parent, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P.m | 7,882 | 23.80 | 0 | 331 | 1 | 35,705 | I | | | | | | | | | | | | | | |
3/17/23 13:06 | 3/17/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Young Kenneth M | CA | O | P | P | 78 | 31.46 | 0 | 2 | 1 | 274 | I | | | | | | | | | | | | | | |
3/17/23 11:05 | 3/16/23 | DHIL | Diamond Hill Investment Group Inc | OH | Financ | InvAdv | Investment Advice | Cooley Richard Scott | OH | D | | P | 79 | 158.00 | 0 | 1 | 8 | 6 | D | | | | | | | | | | | | | | |
3/17/23 07:58 | 3/16/23 | AMG | Affiliated Managers Group, Inc. | DE | Financ | InvAdv | Investment Advice | Jeffery Reuben III | FL | D | | P | 501 | 137.21 | 0 | 4 | 13 | 32 | D | | | | | | | | | | | | | | |
3/16/23 10:30 | 3/15/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Riley Bryant R | CA | DOT | CB,Co-CE | P | 387 | 29.87 | 0 | 13 | 0 | 6,982 | D | | | | | | | | | | | | | | |
3/16/23 10:30 | 3/15/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Kelleher Thomas J /adv | CA | O | Co-CEO | P | 311 | 31.13 | 0 | 10 | 1 | 996 | I | | | | | | | | | | | | | | |
3/16/23 10:30 | 3/15/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Paulson Randall E | CA | D | | P | 155 | 30.93 | 0 | 5 | 2 | 292 | D | | | | | | | | | | | | | | |
3/15/23 18:03 | 3/13/23 | FYBR | Frontier Communications Parent, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P.m | 4,012 | 23.77 | 0 | 169 | 0 | 35,374 | I | | | | | | | | | | | | | | |
3/14/23 13:34 | 3/10/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Moore Andrew | CA | O | CEO B. R | P | 166 | 33.25 | 0 | 5 | 1 | 385 | D | | | | | | | | | | | | | | |
3/10/23 17:20 | 3/9/23 | JHG | Janus Henderson Group Plc | Y9 | Financ | InvAdv | Investment Advice | Sheehan Anne | CO | D | | P | 9 | 27.11 | 0 | 0 | New | 0 | D | | | | | | | | | | | | | | |
3/7/23 13:58 | 3/7/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Riley Bryant R | CA | DOT | CB,Co-CE | P | 770 | 40.53 | 0 | 19 | 0 | 6,969 | M | | | | | | | | | | | | | | |
2/27/23 17:32 | 2/23/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Paulson Randall E | CA | D | | P | 368 | 36.85 | 0 | 10 | 4 | 287 | D | | | | | | | | | | | | | | |
2/27/23 17:31 | 2/24/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Moore Andrew | CA | O | CEO B. R | P | 368 | 36.78 | 0 | 10 | 3 | 355 | D | | | | | | | | | | | | | | |
2/15/23 17:34 | 2/13/23 | BX | Blackstone Inc. | DE | Financ | InvAdv | Investment Advice | Porat Ruth | NY | D | | P | 33 | 92.43 | 0 | 0 | 1 | 39 | M | | | | | | | | | | | | | | |
2/9/23 15:31 | 2/9/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Labran Renee E | CA | D | | P | 10 | 39.97 | 0 | 0 | 7 | 4 | D | | | | | | | | | | | | | | |
2/9/23 13:06 | 2/9/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | D Agostino Robert P | CA | D | | P | 507 | 40.59 | 0 | 13 | 9 | 154 | D | | | | | | | | | | | | | | |
2/9/23 10:19 | 2/8/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Riley Bryant R | CA | DOT | CB,Co-CE | P | 5,461 | 40.18 | 0 | 136 | 2 | 6,750 | D | | | | | | | | | | | | | | |
2/8/23 14:36 | 2/8/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Moore Andrew | CA | O | CEO B. R | P | 775 | 38.75 | 0 | 20 | 8 | 281 | D | | | | | | | | | | | | | | |
2/2/23 09:28 | 1/30/23 | CCO | Clear Channel Outdoor Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P | 897 | 1.79 | 0 | 500 | 1 | 55,829 | I | | | | | | | | | | | | | | |
1/31/23 17:24 | 1/27/23 | JSPR | Jasper Therapeutics, Inc. | DE | Financ | InvAdv | Investment Advice | Carlyle Group Inc. | DC | T | | P | 4,700 | 1.50 | 0 | 3,133 | 56 | 8,762 | I | | | | | | | | | | | | | | |
1/30/23 20:11 | 1/26/23 | CCO | Clear Channel Outdoor Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P.m | 1,982 | 1.76 | 0 | 1,123 | 2 | 55,329 | I | | | | | | | | | | | | | | |
1/26/23 21:30 | 1/20/23 | ALTI | Alvarium Tiedemann Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | Yu Peter | NY | DT | | P.a | 250 | 10.00 | 0 | 25 | 0 | 6,414 | I | | | | | | | | | | | | | | |
1/26/23 18:16 | 1/24/23 | CCO | Clear Channel Outdoor Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P.m | 2,553 | 1.60 | 0 | 1,596 | 3 | 54,206 | I | | | | | | | | | | | | | | |
1/24/23 19:24 | 1/20/23 | CCO | Clear Channel Outdoor Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P.m | 1,927 | 1.57 | 0 | 1,230 | 2 | 53,632 | I | | | | | | | | | | | | | | |
1/23/23 20:30 | 1/23/23 | ALTI | Alvarium Tiedemann Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | Yu Peter | NY | DT | | P | 238 | 9.50 | 0 | 25 | 0 | 6,437 | I | | | | | | | | | | | | | | |
1/20/23 16:29 | 1/18/23 | CCO | Clear Channel Outdoor Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P.m | 1,357 | 1.36 | 0 | 1,000 | 2 | 52,402 | I | | | | | | | | | | | | | | |
1/19/23 20:02 | 1/17/23 | CCO | Clear Channel Outdoor Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P | 544 | 1.36 | 0 | 400 | 1 | 51,402 | I | | | | | | | | | | | | | | |
1/18/23 17:51 | 1/13/23 | ALTI | Alvarium Tiedemann Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | Yu Peter | NY | DT | | P | 270 | 10.00 | 0 | 27 | 0 | 6,770 | I | | | | | | | | | | | | | | |
1/17/23 18:33 | 1/13/23 | CCO | Clear Channel Outdoor Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | Ares Management LLC | CA | T | | P | 460 | 1.39 | 0 | 330 | 1 | 51,002 | I | | | | | | | | | | | | | | |
1/13/23 17:08 | 1/11/23 | KYMR | Kymera Therapeutics, Inc. | DE | Financ | InvAdv | Investment Advice | Bvf Partners L P/Il | CA | DH | See Rema | P.dm | 1,251 | 30.51 | 0 | 41 | 2 | 2,146 | D | | | | | | | | | | | | | | |
1/12/23 21:00 | 1/10/23 | ALTI | Alvarium Tiedemann Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | Yu Peter | NY | DT | | P.m | 1,447 | 9.48 | 0 | 153 | 2 | 6,782 | I | | | | | | | | | | | | | | |
1/9/23 20:20 | 1/9/23 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Paulson Randall E | CA | D | | P | 744 | 37.22 | 0 | 20 | 8 | 277 | D | | | | | | | | | | | | | | |
1/9/23 19:40 | 1/5/23 | ALTI | Alvarium Tiedemann Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | Yu Peter | NY | DT | | P.m | 533 | 8.59 | 0 | 62 | 1 | 6,606 | I | | | | | | | | | | | | | | |
1/9/23 17:44 | 1/5/23 | XOMA | Xoma Corp | DE | Financ | InvAdv | Investment Advice | Bvf Partners L P/il | CA | DTH | See Rema | P.dm | 421 | 18.91 | 0 | 22 | 1 | 2,056 | D | | | | | | | | | | | | | | |
12/30/22 06:10 | 12/28/22 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Riley Bryant R | CA | DOT | CB,Co-CE | P.m | 883 | 33.24 | 0 | 27 | 0 | 6,614 | D | | | | | | | | | | | | | | |
12/30/22 06:08 | 12/28/22 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Brandt Tamara Sue | CA | D | | P | 20 | 32.01 | 0 | 1 | 32 | 3 | D | | | | | | | | | | | | | | |
12/29/22 20:00 | 12/27/22 | GLBL | Cartesian Growth Corp | E9 | Financ | InvAdv | Investment Advice | Pangaea Three-B, LP | NY | T | | P.m | 40 | 10.03 | 0 | 4 | 4 | 97 | D | | | | | | | | | | | | | | |
12/23/22 20:00 | 12/21/22 | GLBL | Cartesian Growth Corp | E9 | Financ | InvAdv | Investment Advice | Pangaea Three-B, LP | NY | T | | P.m | 26 | 10.03 | 0 | 3 | 3 | 93 | D | | | | | | | | | | | | | | |
12/22/22 18:49 | 12/20/22 | THRD | Third Harmonic Bio, Inc. | DE | Financ | InvAdv | Investment Advice | Bvf Partners L P/il | CA | T | | P | 879 | 4.11 | 0 | 214 | 786 | 241 | D | | | | | | | | | | | | | | |
12/20/22 21:00 | 12/19/22 | GLBL | Cartesian Growth Corp | E9 | Financ | InvAdv | Investment Advice | Pangaea Three-B, LP | NY | T | | P.dm | 46 | 10.02 | 0 | 5 | 5 | 91 | D | | | | | | | | | | | | | | |
12/20/22 06:07 | 12/16/22 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Sheldon Michael Joseph | CA | D | | P | 400 | 39.86 | 0 | 10 | 22 | 55 | D | | | | | | | | | | | | | | |
12/20/22 06:02 | 12/16/22 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Labran Renee E | CA | D | | P | 10 | 40.40 | 0 | 0 | 8 | 3 | D | | | | | | | | | | | | | | |
12/19/22 20:53 | 12/15/22 | VCTR | Victory Capital Holdings, Inc. | DE | Financ | InvAdv | Investment Advice | Brown David Craig | TX | O | CB,CEO | P.m | 1,618 | 26.97 | 0 | 60 | 3 | 2,228 | D | | | | | | | | | | | | | | |
12/19/22 06:19 | 12/16/22 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Riley Bryant R | CA | DOT | CB,Co-CE | P | 4,816 | 40.13 | 0 | 120 | 2 | 6,588 | D | | | | | | | | | | | | | | |
12/15/22 14:51 | 12/14/22 | RILY | B. Riley Financial, Inc. | DE | Financ | InvAdv | Investment Advice | Riley Bryant R | CA | DOT | CB,Co-CE | P.m | 2,624 | 41.31 | 0 | 64 | 1 | 6,468 | D | | | | | | | | | | | | | | |