Security And Commodity Brokers, Dealers, Exchanges, And Services - Latest Activist Disclosures

This table shows recent activist investor (Schedule 13D) filings made in this industry. Any investor or hedge fund that makes an investment with the intention of influencing management is considered an activist investor and must file a 13D.

Date Form Target Company Investor Shares Ownership
(Percent)		 Ownership Change
(Percent)
2024-10-08 13D/A GDV / The Gabelli Dividend & Income Trust Saba Capital Management, L.P. 5,474,107 6.09 20.19
2024-10-03 13D/A APO / Apollo Global Management, Inc. Harris Joshua 34,313,690 6.00 0.00
2024-09-25 13D/A APO / Apollo Global Management, Inc. Harris Joshua 34,313,690 6.00 0.00
2024-09-24 13D/A HLI / Houlihan Lokey, Inc. Hl Voting Trust 16,777,727 23.90 -0.65
2024-09-19 13D/A TW / Tradeweb Markets Inc. London Stock Exchange Group plc 119,921,521 50.80 0.00
2024-09-18 13D/A HLNE / Hamilton Lane Incorporated Hla Investments Llc 17,228,247 31.00 6.99
2024-09-13 13D/A STEP / StepStone Group Inc. Bradley Thomas Alcott 3,745,739 4.90 -10.22
2024-09-13 13D/A STEP / StepStone Group Inc. Brem Monte M 45,029,557 41.80 -8.11
2024-09-13 13D/A STEP / StepStone Group Inc. Maruszewski Mark 3,614,205 4.80 -13.96
2024-08-23 13D/A SCHW / The Charles Schwab Corporation Toronto Dominion Bank 135,109,332 7.60 -23.14
2024-08-23 13D/A HLI / Houlihan Lokey, Inc. Hl Voting Trust 16,886,655 24.10 -4.00
2024-08-21 13D/A STEP / StepStone Group Inc. Brem Monte M 49,005,030 45.60 -2.37
2024-08-16 13D/A RILY / B. Riley Financial, Inc. Riley Bryant R 7,041,164 23.20 78.11
2024-08-14 13D/A STEP / StepStone Group Inc. Lim James 5,640,257 8.30 -10.72
2024-08-09 13D/A WT / WisdomTree, Inc. Etf Securities Ltd 15,250,000 10.00 0.00
2024-08-02 13D/A APAM / Artisan Partners Asset Management Inc. Colson Eric R 8,092,413 11.30 -7.92
2024-08-01 13D GDV / The Gabelli Dividend & Income Trust Saba Capital Management, L.P. 4,554,569 5.06
2024-07-30 13D/A NDAQ / Nasdaq, Inc. Adenza Parent, LP 42,804,207 7.42 -50.00
2024-07-24 13D/A APO / Apollo Global Management, Inc. Harris Joshua 34,313,690 6.00 0.00
2024-07-15 13D VCTR / Victory Capital Holdings, Inc. Amundi 3,172,982 4.90
2024-07-15 13D/A APO / Apollo Global Management, Inc. Harris Joshua 34,313,690 6.00 0.00
2024-07-12 13D/A STEP / StepStone Group Inc. Jeffrey David 3,406,128 4.80 -8.62
2024-07-10 13D/A VCTR / Victory Capital Holdings, Inc. Brown David Craig 8,641,631 12.90 -7.21
2024-06-24 13D/A APO / Apollo Global Management, Inc. Harris Joshua 34,313,690 6.00 0.00
2024-06-14 13D IVZ / Invesco Ltd. Trian Fund Management, L.p. 27,223,734 6.05 -19.79
2024-06-13 13D/A DOMH / Dominari Holdings Inc. Wool Kyle Michael 1,661,729 26.36 12.02
2024-06-13 13D/A DOMH / Dominari Holdings Inc. Hayes Anthony 493,953 7.83 55.67
2024-05-20 13D/A APO / Apollo Global Management, Inc. Harris Joshua 34,313,690 6.00 0.00
2024-05-13 13D/A WHG / Westwood Holdings Group, Inc. Hoak Public Equities, LP 725,351 7.80 16.06
2024-05-10 13D/A APO / Apollo Global Management, Inc. Black Leon D 42,604,773 7.50 -4.48
2024-05-01 13D/A STEP / StepStone Group Inc. Brem Monte M 50,193,918 47.40 -1.30
2024-04-22 13D/A STEP / StepStone Group Inc. Brem Monte M 50,853,374 48.00 -1.73
2024-04-18 13D/A WT / WisdomTree, Inc. Etf Securities Ltd 15,250,000 10.00 0.00
2024-04-17 13D/A STEP / StepStone Group Inc. Newhall Charles Ashton 3,180,528 4.85 -5.99
2024-04-11 13D/A APO / Apollo Global Management, Inc. Harris Joshua 34,313,690 6.00 0.00
2024-04-09 13D/A STEP / StepStone Group Inc. Brem Monte M 51,751,225 48.90 3.64
2024-04-03 13D/A HLI / Houlihan Lokey, Inc. Hl Voting Trust 17,590,406 25.10 -3.70
2024-03-25 13D/A WT / WisdomTree, Inc. Etf Securities Ltd 15,250,000 10.00
2024-03-22 13D/A NDAQ / Nasdaq, Inc. Borse Dubai LTD 58,341,545 10.10 -34.70
2024-03-20 13D/A NDAQ / Nasdaq, Inc. Borse Dubai LTD 89,341,545 15.50 0.00
2024-03-11 13D/A HLNE / Hamilton Lane Incorporated Hla Investments Llc 16,103,315 29.60 -10.66
2024-03-11 13D/A NDAQ / Nasdaq, Inc. Borse Dubai LTD 89,341,545 15.53 200.00
2024-03-05 13D/A CG / The Carlyle Group Inc. Carlyle Group Management L.L.C. 140,827,506 39.00 -4.86
2024-03-04 13D/A TPG / TPG Inc. Tpg Gp A, Llc 266,652,605 74.80 -0.50
2024-02-29 13D/A VCTR / Victory Capital Holdings, Inc. Brown David Craig 9,312,676 14.00 -15.16
2024-02-28 13D/A NAVI / Navient Corporation Sherborne Investors Management LP 29,449,997 26.10 0.00
2024-02-28 13D/A TPG / TPG Inc. Tpg Gp A, Llc 268,004,300 75.20 -5.80
2024-02-27 13D/A STEP / StepStone Group Inc. Brem Monte M 49,935,484 48.30 -1.50
2024-02-22 13D/A APO / Apollo Global Management, Inc. Harris Joshua 34,313,690 6.00 0.00
2024-02-21 13D/A STEP / StepStone Group Inc. Lim James 6,317,455 9.80 -8.77