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)
2025-09-05 13D/A AAMI / Acadian Asset Management Inc. Paulson & Co. Inc. 7,743,282 21.60
2025-08-28 13D/A HLI / Houlihan Lokey, Inc. Hl Voting Trust 16,212,105 22.90 -3.37
2025-08-20 13D/A TPG / TPG Inc. Tpg Gp A, Llc 227,348,460 61.20 -0.04
2025-08-20 13D/A BCV / Bancroft Fund Ltd. Saba Capital Management, L.P. 295,200 5.04 5.63
2025-08-12 13D/A FRGE / Forge Global Holdings, Inc. Deutsche Borse Ag 1,614,146 11.90 -93.35
2025-08-04 13D WHG / Westwood Holdings Group, Inc. Settian Capital LP 470,515 5.00
2025-07-22 13D/A APO / Apollo Global Management, Inc. Black Leon D 38,996,048 6.80 -1.27
2025-07-16 13D FINS / Angel Oak Financial Strategies Income Term Trust Karpus Management, Inc. 5,513,520 16.50 46.19
2025-07-14 13D/A WHG / Westwood Holdings Group, Inc. Gamco Investors, Inc. Et Al 443,800 4.70 -23.13
2025-07-14 13D/A AB / AllianceBernstein Holding L.P. - Limited Partnership Equitable Holdings, Inc. 0 0.00 -100.00
2025-07-14 13D/A AB / AllianceBernstein Holding L.P. - Limited Partnership Equitable Holdings, Inc. 199,231,025 68.17 8.08
2025-06-12 13D/A SIEB / Siebert Financial Corp. Gloria E. Gebbia 16,941,323 42.00 0.00
2025-06-06 13D/A STEP / StepStone Group Inc. Brem Monte M 43,228,796 38.50 1.81
2025-05-29 13D/A SIEB / Siebert Financial Corp. Gloria E. Gebbia 16,941,323 42.00 0.00
2025-05-22 13D/A IVZ / Invesco Ltd. Nelson Peltz 20,675,008 4.62
2025-05-22 13D/A TPG / TPG Inc. Tpg Gp A, Llc 227,441,034 62.70 -8.45
2025-05-22 13D/A SIEB / Siebert Financial Corp. Gloria E. Gebbia 16,941,323 42.00 -0.11
2025-05-20 13D/A VCTR / Victory Capital Holdings, Inc. Amundi 3,293,471 4.90 0.00
2025-05-09 13D/A NDAQ / Nasdaq, Inc. Adenza Parent, LP 25,474,207 4.44 -40.49
2025-05-06 13D/A DOMH / Dominari Holdings Inc. Hayes Anthony 6,730,814 34.26 -0.22
2025-05-05 13D/A DFDV / DeFi Development Corp. Defi Dev LLC 498,453 24.90 20.97
2025-05-02 13D/A JHG / Janus Henderson Group plc Nelson Peltz 31,867,800 20.23
2025-04-17 13D/A CG / The Carlyle Group Inc. Carlyle Group Management L.L.C. 0 0.00 -100.00
2025-04-16 13D/A DOMH / Dominari Holdings Inc. Hayes Anthony 6,745,814 34.34 286.40
2025-04-16 13D/A DOMH / Dominari Holdings Inc. Wool Kyle Michael 7,413,590 37.74 207.16
2025-04-16 13D/A APO / Apollo Global Management, Inc. Black Leon D 39,497,048 6.90 -2.73
2025-04-16 13D/A APO / Apollo Global Management, Inc. Rowan Marc J 34,332,816 6.00 0.00
2025-04-16 13D/A APO / Apollo Global Management, Inc. Harris Joshua 34,313,690 6.00 0.00
2025-04-14 13D/A VIRT / Virtu Financial, Inc. Viola Vincent J 67,483,466 45.20 -1.83
2025-04-11 13D/A RILY / B. Riley Financial, Inc. Riley Bryant R 6,999,886 23.00 -0.59
2025-04-08 13D DFDV / DeFi Development Corp. Defi Dev LLC 412,041 28.85
2025-04-03 13D/A VCTR / Victory Capital Holdings, Inc. Amundi 3,293,471 4.90 3.80
2025-04-03 13D/A AB / AllianceBernstein Holding L.P. - Limited Partnership Equitable Holdings, Inc. 184,336,885 63.11
2025-04-03 13D/A AB / AllianceBernstein Holding L.P. - Limited Partnership Equitable Holdings, Inc. 19,682,946 17.80
2025-04-02 13D/A HLNE / Hamilton Lane Incorporated Hla Investments Llc 15,729,416 28.20 0.46
2025-04-02 13D/A AB / AllianceBernstein Holding L.P. - Limited Partnership Equitable Holdings, Inc. 0 0.00
2025-03-25 13D/A DOMH / Dominari Holdings Inc. Hayes Anthony 1,745,814 11.87 9.71
2025-03-25 13D/A DOMH / Dominari Holdings Inc. Wool Kyle Michael 2,413,590 16.41 6.84
2025-03-25 13D/A GGT / The Gabelli Multimedia Trust Inc. Gamco Investors, Inc. Et Al 1,171,396 3.50 5.84
2025-03-25 13D/A AB / AllianceBernstein Holding L.P. - Limited Partnership Equitable Holdings, Inc. 0 0.00
2025-03-24 13D STEC / Santech Holdings Limited - Depositary Receipt (Common Stock) Carmel Holdings Limited 112,000,000 66.67
2025-03-20 13D/A BCV / Bancroft Fund Ltd. Saba Capital Management, L.P. 279,478 4.79 -6.06
2025-03-19 13D/A GDV / The Gabelli Dividend & Income Trust Saba Capital Management, L.P. 6,324,742 7.09 15.54
2025-03-17 13D/A AB / AllianceBernstein Holding L.P. - Limited Partnership Equitable Holdings, Inc. 0 0.00 -100.00
2025-03-10 13D/A TW / Tradeweb Markets Inc. Refinitiv US PME LLC 119,921,521 50.80
2025-03-05 13D/A SIEB / Siebert Financial Corp. Gloria E. Gebbia 16,959,323 42.00
2025-03-03 13D/A RILY / B. Riley Financial, Inc. Riley Bryant R 7,041,164 23.00
2025-02-28 13D/A NAVI / Navient Corporation Sherborne Investors Management LP 29,449,997 28.80 0.00
2025-02-25 13D/A TPG / TPG Inc. Tpg Gp A, Llc 248,441,034 68.50 -3.82
2025-02-24 13D/A AB / AllianceBernstein Holding L.P. - Limited Partnership Equitable Holdings, Inc. 179,548,079 61.47