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)
2026-05-29 13D/A HLNE / Hamilton Lane Incorporated Hla Investments Llc 15,351,034 27.60 -2.41
2026-05-18 13D/A TPG / TPG Inc. Tpg Gp A, Llc 220,181,056 58.30 -3.15
2026-05-14 13D/A JHG / Janus Henderson Group plc Nelson Peltz 25,654,382 16.65 -19.50
2026-05-01 13D/A CA:URC / Uranium Royalty Corp. Uranium Energy Corp 28,967,375 18.40
2026-04-17 13D/A NAVI / Navient Corporation Sherborne Investors Management LP 29,449,997 31.30 0.00
2026-04-13 13D/A BR:MSBR34 / Morgan Stanley - Depositary Receipt (Common Stock) Mitsubishi Ufj Financial Group Inc 380,307,520 23.95
2026-04-06 13D/A CA:BAM / Brookfield Asset Management Ltd. Brookfield Asset Management Inc. 1,193,021,145 72.80
2026-03-30 13D/A BCV.PRA / Bancroft Fund Ltd. - Preferred Stock Saba Capital Management, L.P. 287,274 4.93
2026-03-26 13D/A DOMH / Dominari Holdings Inc. Hayes Anthony 9,753,814 35.30 44.91
2026-03-26 13D/A DOMH / Dominari Holdings Inc. Wool Kyle Michael 10,453,817 37.86 41.01
2026-03-24 13D/A JHG / Janus Henderson Group plc Trian Fund Management, L.p. 31,867,800 20.70 0.00
2026-03-19 13D/A RILYL / BRC Group Holdings, Inc. - Preferred Stock Riley Bryant R 6,985,856 20.10
2026-02-27 13D/A BVC / BitVentures Limited Carmel Holdings Limited 5,693,131 67.80
2026-02-26 13D PAX / Patria Investments Limited Patria Holdings Ltd 83,706,916 56.00 1.98
2026-02-13 13D/A XP / XP Inc. XP Control LLC 101,752,469 19.60
2026-02-13 13D/A RILY / BRC Group Holdings, Inc. Riley Bryant R 6,985,856 22.40 -0.20
2026-02-06 13D APO / Apollo Global Management, Inc. Ldb C Llc 3,000,000 0.52
2026-01-22 13D/A SIEB / Siebert Financial Corp. Gloria E. Gebbia 17,074,103 42.00 1.55
2026-01-14 13D/A STEP / StepStone Group Inc. Lim James 3,204,451 4.00 -23.78
2026-01-08 13D/A GDV / The Gabelli Dividend & Income Trust Saba Capital Management, L.P. 5,694,804 6.43 -9.96
2026-01-08 13D/A STEP / StepStone Group Inc. ARG Private Equity, LLC 3,687,708 4.30 -3.72
2026-01-05 13D/A APAM / Artisan Partners Asset Management Inc. Colson Eric R 7,277,163 10.20 -10.07
2026-01-02 13D/A HLI / Houlihan Lokey, Inc. Hl Voting Trust 15,799,172 22.50 -2.55
2025-12-23 13D JHG / Janus Henderson Group plc Massachusetts Mutual Life Insurance Co 9,283 0.10
2025-12-22 13D/A JHG / Janus Henderson Group plc Trian Fund Management, L.p. 31,867,800 20.60 0.00
2025-12-15 13D/A APO / Apollo Global Management, Inc. Harris Joshua 34,313,690 5.90 0.00
2025-12-04 13D/A XP / XP Inc. General Atlantic Llc 22,758,833 5.40 -23.16
2025-12-02 13D/A COHN / Cohen & Company Inc. Brafman Lester Raymond 315,702 15.51 14.51
2025-12-02 13D/A COHN / Cohen & Company Inc. Cohen Daniel G 4,375,648 70.02 1.27
2025-11-24 13D/A SIEB / Siebert Financial Corp. Gloria E. Gebbia 16,813,323 42.00 -0.76
2025-11-12 13D/A BVC / BitVentures Limited Carmel Holdings Limited 113,862,620 67.80 1.66
2025-11-04 13D/A MS / Morgan Stanley Mitsubishi Ufj Financial Group Inc 380,010,887 23.91 0.28
2025-10-31 13D/A BCV / Bancroft Fund Ltd. Saba Capital Management, L.P. 355,835 6.07 20.54
2025-10-31 13D/A NAVI / Navient Corporation Sherborne Investors Management LP 29,449,997 30.20 0.00
2025-10-27 13D/A JHG / Janus Henderson Group plc Nelson Peltz 31,867,800 20.43 0.00
2025-09-18 13D STEP / StepStone Group Inc. Jose A. Fernandez 5,033,311 6.00
2025-09-18 13D/A STEP / StepStone Group Inc. Lim James 4,204,451 5.30 -13.79
2025-09-18 13D STEP / StepStone Group Inc. Thomas Keck 4,299,538 5.20
2025-09-18 13D/A STEP / StepStone Group Inc. Brem Monte M 5,033,311 6.00 -88.36
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
2025-08-04 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