Security Brokers, Dealers, and Flotation Companies - 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)
2026-04-17 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
2026-03-30 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
2026-02-13 13D/A XP / XP Inc. XP Control LLC 101,752,469 19.60
2026-01-22 13D/A SIEB / Siebert Financial Corp. Gloria E. Gebbia 17,074,103 42.00 1.55
2026-01-08 13D/A GDV / The Gabelli Dividend & Income Trust Saba Capital Management, L.P. 5,694,804 6.43 -9.96
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
2025-11-04 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
2025-08-20 13D/A BCV / Bancroft Fund Ltd. Saba Capital Management, L.P. 295,200 5.04 5.63
2025-07-16 13D FINS / Angel Oak Financial Strategies Income Term Trust Karpus Management, Inc. 5,513,520 16.50 46.19
2025-06-12 13D/A SIEB / Siebert Financial Corp. Gloria E. Gebbia 16,941,323 42.00 0.00
2025-05-29 13D/A SIEB / Siebert Financial Corp. Gloria E. Gebbia 16,941,323 42.00 0.00
2025-05-22 13D/A SIEB / Siebert Financial Corp. Gloria E. Gebbia 16,941,323 42.00 -0.11
2025-05-06 13D/A DOMH / Dominari Holdings Inc. Hayes Anthony 6,730,814 34.26 -0.22
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
2025-04-14 13D/A VIRT / Virtu Financial, Inc. Viola Vincent J 67,483,466 45.20 -1.83
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
2025-03-20 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
2025-03-05 13D/A SIEB / Siebert Financial Corp. Gloria E. Gebbia 16,959,323 42.00
2025-02-28 13D/A NAVI / Navient Corporation Sherborne Investors Management LP 29,449,997 28.80 0.00
2025-02-21 13D/A DOMH / Dominari Holdings Inc. Hayes Anthony 1,591,255 11.05
2025-02-13 13D BCV / Bancroft Fund Ltd. Saba Capital Management, L.P. 297,511 5.10
2025-02-12 13D/A SCHW / The Charles Schwab Corporation Toronto Dominion Bank 1,329,350 0.10 -99.02
2025-02-12 13D/A DOMH / Dominari Holdings Inc. Hayes Anthony 1,091,255 9.64
2025-02-12 13D/A DOMH / Dominari Holdings Inc. Wool Kyle Michael 2,259,031 19.96
2025-01-03 13D/A DOMH / Dominari Holdings Inc. Hayes Anthony 803,071 11.41 62.58
2025-01-03 13D/A DOMH / Dominari Holdings Inc. Wool Kyle Michael 1,970,847 28.01 18.60
2024-12-26 13D/A NAVI / Navient Corporation Sherborne Investors Management LP 29,449,997 27.40 0.00
2024-12-03 13D/A COHN / Cohen & Company Inc. Brafman Lester Raymond 275,702 14.14 16.97
2024-12-03 13D/A COHN / Cohen & Company Inc. Cohen Daniel G 4,320,616 70.74 0.86
2024-11-01 13D/A NAVI / Navient Corporation Sherborne Investors Management LP 29,449,997 27.40 0.00
2024-10-18 13D GDV / The Gabelli Dividend & Income Trust Gamco Investors, Inc. Et Al
2024-10-10 13D/A TIGR / UP Fintech Holding Limited - Depositary Receipt (Common Stock) Interactive Brokers Group, Inc. 75,380,162 3.10
2024-10-08 13D/A GDV / The Gabelli Dividend & Income Trust Saba Capital Management, L.P. 5,474,107 6.09 20.19
2024-08-23 13D/A SCHW / The Charles Schwab Corporation Toronto Dominion Bank 135,109,332 7.60 -23.14
2024-08-09 13D/A WT / WisdomTree, Inc. Etf Securities Ltd 15,250,000 10.00 0.00
2024-08-01 13D GDV / The Gabelli Dividend & Income Trust Saba Capital Management, L.P. 4,554,569 5.06
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