Investment Advice Industry - Insider Stock Trading

Filing Date	T Date	Ticker	Issuer	Inc	Sector	Ind	Industry	Owner	oSt	Rel	Title	#f	T	TVal	Price	Qty	oc	Own	H
6/14/24 17:02	6/12/24	QDEL	Quidelortho Corp	DE	Financ	InvAdv	Investment Advice	Carlyle Group Inc.	DC	T		1	S.m	-8,018	38.46	-208		12,252	I
6/12/24 19:54	6/11/24	STEP	Stepstone Group Inc.		Financ	InvAdv	Investment Advice	Mitchell Steven R	NY	DT		2	S.am	-2,746	43.94	-63		28	D
6/12/24 17:19	6/10/24	STEP	Stepstone Group Inc.		Financ	InvAdv	Investment Advice	Keck Thomas	NY	DH	See Rema	2	S.m	-4,509	45.09	-100		4,449	I
6/11/24 20:17	6/10/24	AMK	Assetmark Financial Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	Zyla Gary G.	CA	O	EVP,CFO	1	S	-268	34.40	-8		93	D
6/11/24 20:16	6/10/24	AMK	Assetmark Financial Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	Minta-Jacobs Esi	CA	O	HR,Digit	1	S	-87	34.40	-3		67	D
6/11/24 20:16	6/10/24	AMK	Assetmark Financial Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	Mehta Mukesh	CA	O	EVP,CIO	1	S	-305	34.40	-9		305	D
6/11/24 20:14	6/10/24	AMK	Assetmark Financial Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	McNatt Joel David Jr	CA	O	EVP,Inve	1	S	-181	34.40	-5		54	D
6/11/24 20:13	6/10/24	AMK	Assetmark Financial Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	Kim Michael	CA	DO	CEO,P	1	S	-325	34.40	-9		399	D
6/11/24 20:12	6/10/24	AMK	Assetmark Financial Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	Hansen Carrie E.	CA	O	EVP,COO	1	S	-365	34.40	-11		135	D
6/11/24 20:12	6/10/24	AMK	Assetmark Financial Holdings, Inc.	DE	Financ	InvAdv	Investment Advice	Angus Ted F.	CA	O	EVP,GC	1	S	-331	34.40	-10		114	D
6/10/24 21:48	6/7/24	ARES	Ares Management Corp	DE	Financ	InvAdv	Investment Advice	Olian Judy D.	CA	D		1	S	-458	134.00	-3		27	D
6/10/24 17:09	6/6/24	BSIG	Brightsphere Investment Group Inc.	DE	Financ	InvAdv	Investment Advice	Paulson John	MA	DT		1	M.d	0	0.00	8	92	16	D
6/10/24 17:04	6/6/24	BSIG	Brightsphere Investment Group Inc.	DE	Financ	InvAdv	Investment Advice	Trebbi Barbara	MA	D		1	M.d	0	0.00	4	12	41	D
6/10/24 16:58	6/6/24	BSIG	Brightsphere Investment Group Inc.	DE	Financ	InvAdv	Investment Advice	Chersi Robert J	MA	D		1	M.d	0	0.00	4	8	62	D
6/10/24 16:21	6/6/24	ALTI	Alti Global, Inc.	DE	Financ	InvAdv	Investment Advice	Ilwaddi Holdings	NY	T		3	P.m	451	4.93	91	1	17,985	I
6/7/24 16:36	6/5/24	OAK.P	Brookfield Oaktree Holdings, LLC	DE	Financ	InvAdv	Investment Advice	Perry Mansco III	CA	D		1	S	-22	21.65	-1	-100	0	D
6/6/24 18:04	6/4/24	MORN	Morningstar, Inc.	IL	Financ	InvAdv	Investment Advice	Mansueto Joseph D	IL	DOT	Exec CB	13	S.m	-36,901	295.21	-125		15,653	D
6/6/24 18:03	6/4/24	MORN	Morningstar, Inc.	IL	Financ	InvAdv	Investment Advice	Lyons William M	IL	D		1	S	-217	289.07	-1		34	D
6/5/24 14:12	6/3/24	ALTI	Alti Global, Inc.	DE	Financ	InvAdv	Investment Advice	Tiedemann Michael	NY	DO	CEO	4	P.dm	973	2.70	361	137	623	D
6/4/24 19:28	5/31/24	LAZ	Lazard, Inc.	DE	Financ	InvAdv	Investment Advice	Jacobs Kenneth M	NY	DO	Exec CB	1	S.m	-10,437	40.20	-260		2,468	M
6/4/24 19:05	5/31/24	GCMG	Gcm Grosvenor Inc.	DE	Financ	InvAdv	Investment Advice	Sullivan Kathleen Patricia	IL	O	Principa	2	M.d	0	0.00	23	78	53	D
6/4/24 19:05	5/31/24	GCMG	Gcm Grosvenor Inc.	DE	Financ	InvAdv	Investment Advice	Hurse Sandra	IL	O	CHRO	2	M.d	0	0.00	23	232	32	D
6/4/24 19:04	5/31/24	GCMG	Gcm Grosvenor Inc.	DE	Financ	InvAdv	Investment Advice	Bentley Pamela L	IL	O	CFO	2	M.d	0	0.00	27	78	62	D
6/4/24 19:04	5/31/24	GCMG	Gcm Grosvenor Inc.	DE	Financ	InvAdv	Investment Advice	Pollock Frederick	IL	O	Chief In	1	M.d	0	0.00	25	5	558	D
6/4/24 19:03	5/31/24	GCMG	Gcm Grosvenor Inc.	DE	Financ	InvAdv	Investment Advice	Levin Jonathan Reisin	IL	DO	P	1	M.d	0	0.00	25	6	436	D
6/4/24 18:45	5/31/24	ARES	Ares Management Corp	DE	Financ	InvAdv	Investment Advice	Kaplan David B	CA	DO	Co-Found	5	S.dm	-50,527	134.74	-375		1,352	I
6/4/24 18:39	5/31/24	ARES	Ares Management Corp	DE	Financ	InvAdv	Investment Advice	Rosenthal Bennett	CA	DO	Co-Found	6	S.dm	-46,832	133.81	-350		1,278	I
6/4/24 17:46	6/4/24	HLI	Houlihan Lokey, Inc.		Financ	InvAdv	Investment Advice	Preiser David A	CA	DO	CO-P	1	S.d	-2,664	133.21	-20	-100	0	D
6/4/24 17:15	6/3/24	PJT	Pjt Partners Inc.	DE	Financ	InvAdv	Investment Advice	Whitney Kenneth C	NY	D		1	M.d	0	0.00	3	6	48	D
6/4/24 17:15	6/3/24	PJT	Pjt Partners Inc.	DE	Financ	InvAdv	Investment Advice	Rafferty Emily K	NY	D		1	M.d	0	0.00	3	39	9	D
6/4/24 17:15	6/3/24	PJT	Pjt Partners Inc.	DE	Financ	InvAdv	Investment Advice	Costos James	NY	D		1	M.d	0	0.00	3	31	11	D
6/4/24 17:15	6/3/24	PJT	Pjt Partners Inc.	DE	Financ	InvAdv	Investment Advice	Ryan Thomas M	NY	D		1	M.d	0	0.00	5	16	36	D
6/4/24 17:00	6/3/24	PJT	Pjt Partners Inc.	DE	Financ	InvAdv	Investment Advice	Lee Ji-Yeun	NY	O	Managing	1	S	-1,073	107.28	-10		71	D
6/4/24 16:54	6/3/24	HLI	Houlihan Lokey, Inc.		Financ	InvAdv	Investment Advice	Crain Christopher M	CA	O	GC	1	S.d	-133	133.49	-1	-100	0	D
6/4/24 16:37	6/3/24	STEP	Stepstone Group Inc.		Financ	InvAdv	Investment Advice	Park David Y	NY	O	CFO	1	S	-110	44.13	-3		27	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	1	6	8	D
5/31/24 19:46	5/29/24	ALTI	Alti Global, Inc.	DE	Financ	InvAdv	Investment Advice	Maliagros Spiros	NY	DO	P,Strate	4	S.dm	-186	0.4255	-438		513	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	23	96	46	D
5/28/24 18:08	5/23/24	CRGY	Crescent Energy Co	E9	Financ	InvAdv	Investment Advice	Kkr Group Partnership L.P.	NY	T		3	S.d	-1,741,640	42.48	-41,000		62,977	I
5/28/24 16:28	5/28/24	FHI	Federated Hermes, Inc.	PA	Financ	InvAdv	Investment Advice	Uhlman Paul A	PA	O	VP	1	S	-32	33.00	-1	0	300	D
5/28/24 16:27	5/28/24	FHI	Federated Hermes, Inc.	PA	Financ	InvAdv	Investment Advice	Germain Peter J	PA	O	EVP,CLO,	1	S	-13	33.02	0	0	213	D
5/24/24 16:34	5/22/24	CNS	Cohen & Steers, Inc.	DE	Financ	InvAdv	Investment Advice	Cheigh Jon	NY	O	Chief In	1	S	-520	72.57	-7		168	D
5/23/24 17:56	5/21/24	GTES	Gates Industrial Corp Plc	DE	Financ	InvAdv	Investment Advice	Blackstone Inc.	NY	T		1	S	-328,641	16.33	-20,125		1,098	I
5/21/24 16:40	5/17/24	VRTS	Virtus Investment Partners, Inc.	DE	Financ	InvAdv	Investment Advice	Mandinach Barry M.	CT	O	EVP,Head	1	S.m	-1,863	234.00	-8		12	D
5/20/24 20:05	5/16/24	ALTI	Alti Global, Inc.	DE	Financ	InvAdv	Investment Advice	Moran Kevin P.	NY	O	See Rema	4	S.d	-149	0.8226	-181		176	D
5/20/24 16:16	5/16/24	AMP	Ameriprise Financial Inc	DE	Financ	InvAdv	Investment Advice	Sharpe Robert Francis Jr	MN	D		1	S	-657	438.07	-2		17	I
5/17/24 20:22	5/17/24	MORN	Morningstar, Inc.	IL	Financ	InvAdv	Investment Advice	Dubinsky Jason	IL	O	CFO	1	M.d	0	0.00	1	3	50	D
5/17/24 20:22	5/17/24	MORN	Morningstar, Inc.	IL	Financ	InvAdv	Investment Advice	Kapoor Kunal	IL	DO	CEO	1	M.d	0	0.00	6	2	265	D
5/17/24 20:19	5/17/24	MORN	Morningstar, Inc.	IL	Financ	InvAdv	Investment Advice	Dunn Daniel Joseph	IL	O	Chief Re	1	M.d	0	0.00	1	2	29	D
5/17/24 19:29	5/15/24	ARES	Ares Management Corp	DE	Financ	InvAdv	Investment Advice	Arougheti Michael J	CA	DO	Co-Found	5	S.dm	-70,356	140.83	-500		1,511	I
5/17/24 11:21	5/15/24	DHIL	Diamond Hill Investment Group Inc	OH	Financ	InvAdv	Investment Advice	Laird James F Jr	OH	D		1	S	-396	158.40	-3		28	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	84	642	97	D
5/15/24 16:12	5/13/24	DHIL	Diamond Hill Investment Group Inc	OH	Financ	InvAdv	Investment Advice	Line Thomas Edward	OH	O	CFO	1	S.m	-550	157.01	-4		14	D
5/14/24 19:06	5/13/24	MC	Moelis & Co	DE	Financ	InvAdv	Investment Advice	Mahmoodzadegan Navid	NY	O	Co-P,MD	1	S	-2,470	54.92	-45	-100	0	D
5/13/24 17:12	5/10/24	MORN	Morningstar, Inc.	IL	Financ	InvAdv	Investment Advice	Kaplan Steven N	IL	D		1	S	-373	298.13	-1		43	D
5/13/24 17:04	5/9/24	ELDN	Eledon Pharmaceuticals, Inc.	DE	Financ	InvAdv	Investment Advice	Bvf Partners L P/il	CA	T		1	P.d	0	0.00	1,928		220	D
5/10/24 19:04	5/9/24	MC	Moelis & Co	DE	Financ	InvAdv	Investment Advice	Moelis Kenneth	NY	DO	CB,CEO	1	S.m	-4,167	54.04	-77		5	D
5/10/24 16:19	5/8/24	APO	Apollo Global Management, Inc.	DE	Financ	InvAdv	Investment Advice	Kelly Martin	NY	O	CFO	1	S	-3,339	111.29	-30		356	D
5/9/24 16:30	5/8/24	OWL	Blue Owl Capital Inc.		Financ	InvAdv	Investment Advice	Polland Andrew Robert	NY	O	COO	1	S	0	0.00	-124		289	I
5/8/24 17:23	5/6/24	BX	Blackstone Inc.	DE	Financ	InvAdv	Investment Advice	Porat Ruth	NY	D		1	P	33	119.57	0	1	43	M
5/8/24 16:30	5/6/24	OWL	Blue Owl Capital Inc.		Financ	InvAdv	Investment Advice	Laurino Andrew Charles	NY	O	Senior M	1	S.d	0	0.00	-19,600		1,623	I
5/8/24 16:30	5/6/24	OWL	Blue Owl Capital Inc.		Financ	InvAdv	Investment Advice	Ward Sean Jason	NY	O	Senior M	1	S.d	0	0.00	-19,600		2,078	I
5/8/24 16:30	5/6/24	OWL	Blue Owl Capital Inc.		Financ	InvAdv	Investment Advice	Rees Michael Douglass	NY	O	Co-P	1	S.d	0	0.00	-19,600		2,619	I
5/7/24 17:24	2/15/24	JHG	Janus Henderson Group Plc	Y9	Financ	InvAdv	Investment Advice	Dolan Kevin B	X0	D		1	S	-103	30.99	-3		17	D
5/7/24 17:00	5/6/24	PJT	Pjt Partners Inc.	DE	Financ	InvAdv	Investment Advice	Cornwell Kievdi Don	NY	D		1	M.d	0	0.00	1	6	19	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	10	1	941	D
5/2/24 17:55	4/30/24	SAMG	Silvercrest Asset Management Group Inc.	DE	Financ	InvAdv	Investment Advice	Hough Richard R III	NY	DO	CB,CEO	1	M.d	883	14.54	61	11	609	D
4/30/24 16:27	4/30/24	APAM	Artisan Partners Asset Management Inc.	DE	Financ	InvAdv	Investment Advice	Ramirez Gregory K	WI	OT	EVP	1	S.d	0	0.00	-2		70	D
4/29/24 18:01	4/25/24	MC	Moelis & Co	DE	Financ	InvAdv	Investment Advice	Cantor Eric	NY	DO	Vice CB,	1	M.d	0	0.00	1	0	196	D
4/26/24 16:58	4/24/24	CBL	Cbl & Associates Properties Inc	DE	Financ	InvAdv	Investment Advice	Oaktree Capital Group Holdings Gp, LLC	CA	T		1	S	-155	21.75	-7	0	4,005	I
4/19/24 18:27	4/17/24	ARES	Ares Management Corp	DE	Financ	InvAdv	Investment Advice	Ressler Antony P	CA	DOT	Co-Found	10	S.m	-265,637	132.82	-2,000		7,906	I
4/4/24 19:54	3/11/24	ALTI	Alti Global, Inc.	DE	Financ	InvAdv	Investment Advice	Connell Brooke	NY	O	P,US Wea	2	M.d	76	1.17	65	52	191	D
4/4/24 19:54	4/2/24	ALTI	Alti Global, Inc.	DE	Financ	InvAdv	Investment Advice	Connell Brooke	NY	O	P,US Wea	2	S.d	-76	1.17	-65		191	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	25		25	D
4/4/24 19:49	3/11/24	ALTI	Alti Global, Inc.	DE	Financ	InvAdv	Investment Advice	Smith Craig Lindsay	NY	DO	See rema	1	M.d	0	0.00	75		36	D
4/3/24 17:11	3/22/24	TPG	Tpg Inc.	DE	Financ	InvAdv	Investment Advice	Weingart Jack	TX	DO	CFO	1	M.d	0	0.00	127	11	1,237	D
4/3/24 17:08	3/22/24	TPG	Tpg Inc.	DE	Financ	InvAdv	Investment Advice	Vazquez-Ubarri Anilu	TX	DO	COO	1	M.d	0	0.00	85	26	408	D
4/3/24 17:03	3/22/24	TPG	Tpg Inc.	DE	Financ	InvAdv	Investment Advice	Sisitsky Todd Benjamin	TX	DO	P	1	M.d	0	0.00	169	19	1,058	D
4/3/24 16:32	3/22/24	TPG	Tpg Inc.	DE	Financ	InvAdv	Investment Advice	Berenson Bradford	TX	O	GC	1	M.d	0	0.00	85	46	270	D
4/1/24 17:29	3/31/24	GCMG	Gcm Grosvenor Inc.	DE	Financ	InvAdv	Investment Advice	Cornelli Francesca	IL	D		2	M.d	0	0.00	15		15	D
4/1/24 17:28	3/31/24	GCMG	Gcm Grosvenor Inc.	DE	Financ	InvAdv	Investment Advice	Masters Blythe	IL	D		1	M.d	0	0.00	9	19	58	D
3/29/24 16:04	3/27/24	AMP	Ameriprise Financial Inc	DE	Financ	InvAdv	Investment Advice	Alvero Gumer	MN	O	P-INSURA	2	M.d	1,244	211.38	6	273	8	D
3/29/24 16:04	3/27/24	AMP	Ameriprise Financial Inc	DE	Financ	InvAdv	Investment Advice	Alvero Gumer	MN	O	P-INSURA	2	S.d	-1,244	211.38	-6		8	D
3/28/24 19:03	3/28/24	AMG	Affiliated Managers Group, Inc.	DE	Financ	InvAdv	Investment Advice	Churchill Dwight D.	FL	D		1	M.d	787	86.65	9	59	24	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	55		55	D
3/28/24 16:50	3/26/24	AMP	Ameriprise Financial Inc	DE	Financ	InvAdv	Investment Advice	Brockman Dawn M.	MN	O	SVP,CONT	2	M.d	157	228.62	1	92	1	D
3/28/24 16:50	3/26/24	AMP	Ameriprise Financial Inc	DE	Financ	InvAdv	Investment Advice	Brockman Dawn M.	MN	O	SVP,CONT	2	S.d	-157	228.62	-1		1	D
3/27/24 15:49	3/25/24	PX	P10, Inc.	DE	Financ	InvAdv	Investment Advice	Feinglass Michael	TX	H	See Rema	2	S.m	-1,006	8.13	-124		254	D
3/27/24 15:46	3/25/24	PX	P10, Inc.	DE	Financ	InvAdv	Investment Advice	McCoy David M.	TX	H	See Rema	1	P	81	8.12	10	14	80	D
3/22/24 09:18	3/20/24	AFL	Aflac Inc	DE	Financ	InvAdv	Investment Advice	Kenny Thomas J	GA	D		1	S	-423	84.62	-5		18	D
3/21/24 17:11	3/19/24	APO	Apollo Global Management, Inc.	DE	Financ	InvAdv	Investment Advice	Black Leon D	NY	H	See rema	1	S	-49,818	110.71	-450		42,605	D

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

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