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)
2021-12-09 13D/A XP / XP Inc. Itausa S.A. 84,270,985 19.90 42.35
2021-12-03 13D/A COHN / Cohen & Company Inc. Brafman Lester Raymond 145,952 8.51 106.15
2021-12-03 13D/A COHN / Cohen & Company Inc. Cohen Daniel G 3,106,468 68.06 2.48
2021-11-29 13D/A VIRT / Virtu Financial, Inc. North Island Holdings I, Lp 2,471,509 2.20 -87.55
2021-10-28 13D/A COHN / Cohen & Company Inc. Cohen Daniel G 3,031,314 67.68 0.51
2021-10-13 13D XP / XP Inc. Itausa S.A. 59,199,185 14.00
2021-09-02 13D/A GGT / The Gabelli Multimedia Trust Inc. Gamco Investors, Inc. Et Al 1,106,763 4.05 41.92
2021-08-26 13D HOOD / Robinhood Markets, Inc. New Enterprise Associates 15, L.P. 74,790,858 10.30
2021-08-17 13D/A VIRT / Virtu Financial, Inc. North Island Holdings I, Lp 19,859,243 16.90 -7.18
2021-06-10 13D XP / XP Inc. XPart S.A. 226,523,304 40.50
2021-04-13 13D/A MS / Morgan Stanley Mitsubishi Ufj Financial Group Inc 378,479,529 20.87 0.05
2021-04-08 13D/A SIEB / Siebert Financial Corp. Kennedy Cabot Acquisition, LLC 16,405,256 52.00 -9.30
2021-03-19 13D/A SIEB / Siebert Financial Corp. Kennedy Cabot Acquisition, LLC 18,087,218 58.00 -0.35
2021-03-11 13D/A JEF / Jefferies Financial Group Inc. Steinberg Joseph S 8.90
2021-02-16 13D COHN / Cohen & Company Inc. Brafman Lester Raymond 70,798 5.30 44.03
2021-01-05 13D/A FUTU / Futu Holdings Limited - Depositary Receipt (Common Stock) General Atlantic Llc 26,306,664 4.90 -20.50
2020-12-11 13D/A MS / Morgan Stanley Mitsubishi Ufj Financial Group Inc 378,289,711 20.90 -0.09
2020-11-25 13D/A FUTU / Futu Holdings Limited - Depositary Receipt (Common Stock) General Atlantic Llc 33,092,048 6.20 -16.60
2020-11-16 13D/A SCHW / The Charles Schwab Corporation Schwab Charles R 132,330,681 7.30 0.00
2020-11-14 13D/A SCHW / The Charles Schwab Corporation Schwab Charles R 132,330,681 7.30 -2.24
2020-11-09 13D/A IBKR / Interactive Brokers Group, Inc. IBG Holdings LLC 325,960,034 80.60 21,097.52
2020-10-28 13D/A MS / Morgan Stanley Mitsubishi Ufj Financial Group Inc 378,647,907 20.90 -4.83
2020-10-16 13D SCHW / The Charles Schwab Corporation Toronto Dominion Bank 177,604,934 9.87
2020-09-03 13D/A FUTU / Futu Holdings Limited - Depositary Receipt (Common Stock) General Atlantic Llc 39,677,704 7.40 -14.98
2020-06-24 13D/A SIEB / Siebert Financial Corp. Kennedy Cabot Acquisition, LLC 18,150,718 59.00 -5.57
2020-06-19 13D/A COHN / Cohen & Company Inc. Cohen Daniel G 3,016,006 74.61 198.12
2020-06-03 13D/A VIRT / Virtu Financial, Inc. North Island Holdings I, Lp 21,395,041 17.80 -46.14
2020-05-26 13D/A VIRT / Virtu Financial, Inc. Viola Vincent J 69,395,534 36.20 0.00
2020-05-23 13D/A VIRT / Virtu Financial, Inc. Viola Vincent J 69,395,534 36.20 2.21
2020-05-06 13D/A VIRT / Virtu Financial, Inc. Viola Vincent J 67,895,326 35.90 0.32
2020-04-20 13D/A SIEB / Siebert Financial Corp. Kennedy Cabot Acquisition, LLC 19,221,799 63.00 0.00
2020-03-23 13D/A VIRT / Virtu Financial, Inc. Viola Vincent J 67,678,646 35.90 -0.37
2020-02-25 13D/A LTSK / Osaic Financial Services, Inc. - Corporate Bond/Note Vector Group Ltd 0 0.00 -100.00
2020-02-19 13D/A LTSK / Osaic Financial Services, Inc. - Corporate Bond/Note Advisor Group Holdings, Inc. 100 100.00 0.00
2020-02-18 13D/A LTSK / Osaic Financial Services, Inc. - Corporate Bond/Note Advisor Group Holdings, Inc. 100 100.00 -100.00
2020-02-07 13D/A SIEB / Siebert Financial Corp. Kennedy Cabot Acquisition, LLC 19,221,799 63.10 -1.79
2020-01-28 13D/A NAVI / Navient Corporation Canyon Capital Advisors Llc 0 0.00 -100.00
2020-01-17 13D/A SIEB / Siebert Financial Corp. Kennedy Cabot Acquisition, LLC 19,571,799 64.30 -0.32
2020-01-10 13D/A SIEB / Siebert Financial Corp. Kennedy Cabot Acquisition, LLC 19,633,749 64.50 14.90
2020-01-06 13D/A COHN / Cohen & Company Inc. Cohen Daniel G 1,011,659 50.97 30.87
2019-12-18 13D/A SIEB / Siebert Financial Corp. Kennedy Cabot Acquisition, LLC 17,086,977 62.90 -0.29
2019-12-03 13D/A COHN / Cohen & Company Inc. Cohen Daniel G 773,054 44.27 3.69
2019-11-29 13D/A SCHW / The Charles Schwab Corporation Schwab Charles R 135,369,098 10.50 -10.10
2019-11-21 13D LTSK / Osaic Financial Services, Inc. - Corporate Bond/Note Advisor Group Holdings, Inc. 40,521,444 27.20
2019-11-13 13D/A LTSK / Osaic Financial Services, Inc. - Corporate Bond/Note Vector Group Ltd 15,191,205 10.20 0.00
2019-10-04 13D/A COHN / Cohen & Company Inc. Cohen Daniel G 745,554 42.78 -11.50
2019-09-30 13D/A SIEB / Siebert Financial Corp. Kennedy Cabot Acquisition, LLC 17,136,977 63.10 0.00
2019-09-27 13D/A SIEB / Siebert Financial Corp. Kennedy Cabot Acquisition, LLC 17,136,977 63.10 -0.29
2019-09-20 13D/A MS / Morgan Stanley Mitsubishi Ufj Financial Group Inc 397,870,394 24.07 -5.44
2019-08-12 13D/A FUTU / Futu Holdings Limited - Depositary Receipt (Common Stock) General Atlantic Llc 46,666,666 13.60 0.00