Semper Capital Management, L.P. |
|
|
2020 |
SEC |
$503,228 |
RBC Capital Markets LLC |
Royal Bank of Canada |
financial services |
2020 |
SEC |
$3,889,007 |
Biltmore International Corporation |
|
|
2020 |
SEC |
$125,000 |
Monomoy Capital Management, L.P. |
Monomoy Capital Partners |
private equity (including portfolio companies) |
2020 |
SEC |
$1,926,579 |
Eagle Strategies LLC |
|
|
2020 |
SEC |
$101,090 |
Merrill Lynch, Pierce and Fenner & Smith, Incorporated |
Bank of America |
financial services |
2020 |
SEC |
$325,376 |
Old Ironsides Energy, LLC |
|
|
2020 |
SEC |
$1,000,000 |
Cozad Asset Management, Inc. |
|
|
2020 |
SEC |
$416,870 |
Boenning & Scattergood, Inc. |
|
|
2020 |
SEC |
$205,567 |
Schulman Lobel Zand Katzen Williams & Blackman and LLP |
|
|
2020 |
SEC |
$98,510 |
Cantor Fitzgerald & Co. |
Cantor Fitzgerald |
financial services |
2020 |
SEC |
$3,200,000 |
HSBC Securities (USA) Inc. |
HSBC |
financial services |
2020 |
SEC |
$725,000 |
Naya Ventures, LLC |
|
|
2020 |
SEC |
$40,000 |
BMA Securities, LLC |
|
|
2020 |
SEC |
$333,537 |
Stiefel Laboratories Inc. |
|
|
2020 |
SEC |
$26,510,000 |
Navellier & Associates, Inc. |
|
|
2020 |
SEC |
$37,478,190 |
Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.) |
|
|
2020 |
SEC |
$3,500,000 |
International Investment Group, LLC |
|
|
2020 |
SEC |
$35,000,000 |
The Lighthouse Events, LLC |
|
|
2020 |
SEC |
$3,381,686 |
Rock and Roll Cycles, LLC and Cycle For Life, Inc. |
|
|
2020 |
SEC |
$236,314 |
Hologram USA Networks Inc. |
|
|
2020 |
SEC |
$22,419 |
Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc. |
|
|
2020 |
SEC |
$1,031,270 |
ICOBox |
|
|
2020 |
SEC |
$16,059,428 |
Securian Financial Services, Inc. |
Securian Financial |
financial services |
2020 |
AK-DBS |
$10,000 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
AK-DBS |
$10,527 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
AL-SEC |
$18,874 |
Internet Escrow Services, Inc. |
|
|
2020 |
AL-SEC |
$10,422 |
The Fortitude Foundation et al. |
|
|
2020 |
AZ-CC |
$1,386,024 |
Priority Wealth Advisors, Inc. |
|
|
2020 |
AZ-CC |
$5,000 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
CA-DFPI |
$52,047 |
Piara Pizza, LLC |
|
|
2020 |
CA-DFPI |
$35,000 |
Trademark INT PTT AB |
|
|
2020 |
CA-DFPI |
$7,500 |
Amada Franchise, Inc. |
|
|
2020 |
CA-DFPI |
$10,000 |
Annett & Associates |
|
|
2020 |
CO-SEC |
$7,000 |
North American Drilling Corporation |
|
|
2020 |
CT-SEC |
$100,000 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
CT-SEC |
$51,136 |
Native American Energy Group, Inc. |
|
|
2020 |
CT-SEC |
$100,000 |
Great Heritage Investments, LLC |
|
|
2020 |
CT-SEC |
$20,000 |
ARO Equity, LLC |
|
|
2020 |
CT-SEC |
$300,000 |
Wynn Investments LLC |
|
|
2020 |
FL-OFR |
$7,000 |
Power Supplies & Equipment Ltd. |
|
|
2020 |
GA-SEC |
$5,000 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
GA-SEC |
$22,104 |
Solium Financial Services, LLC |
Morgan Stanley |
financial services |
2020 |
IA-INS |
$10,147 |
Brooke's Ventures LLC |
|
|
2020 |
ID-SEC |
$20,000 |
Pinnacle Plus Capital LLC |
|
|
2020 |
ID-SEC |
$18,423 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
IN-SEC |
$15,575 |
Sunset Capital Assets, Inc. |
|
|
2020 |
KY-FIN |
$45,000 |
J.P. Morgan Securities LLC |
JPMorgan Chase |
financial services |
2020 |
KY-FIN |
$325,000 |
FWG Investments LLC |
|
|
2020 |
KY-FIN |
$50,000 |
Game Designs LLC |
|
|
2020 |
KY-FIN |
$60,000 |
Beauty Supply Institute, LLC |
|
|
2020 |
MD-SEC |
$10,000 |
Solium Financial Services, LLC |
Morgan Stanley |
financial services |
2020 |
ME-SEC |
$5,000 |
ASI Capital, LLC et al. |
|
|
2020 |
MI-SEC |
$5,000 |
Severn Funding & Investment Ltd. |
|
|
2020 |
MI-SEC |
$20,000 |
Heartland Production and Recovery, LLC |
|
|
2020 |
MI-SEC |
$20,000 |
LA Developers, LLC |
|
|
2020 |
MI-SEC |
$30,000 |
Raymond James & Associates, Inc. |
Raymond James Financial |
financial services |
2020 |
MI-SEC |
$50,000 |
Cannas Capital, LLC |
|
|
2020 |
MI-SEC |
$10,000 |
BC Holdings and Investments, LLC |
|
|
2020 |
MI-SEC |
$20,000 |
Mintage Mining, LLC |
|
|
2020 |
MI-SEC |
$20,000 |
SLB Creations, Inc. |
|
|
2020 |
MI-SEC |
$10,000 |
Schuster Financial LLC |
|
|
2020 |
MN-FIN |
$20,000 |
Monex Deposit Company et al. |
|
|
2020 |
MN-FIN |
$10,000 |
Pathway Advisors Group |
|
|
2020 |
MO-SEC |
$11,000 |
Safe Money Millionaire et al. |
|
|
2020 |
MO-SEC |
$97,429 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
MO-SEC |
$9,130 |
Drake Investment Options LLC |
|
|
2020 |
MO-SEC |
$101,806 |
TMTE, Inc., a/k/a Chase Metals, LLC |
|
|
2020 |
MO-SEC |
$38,000 |
Ferry Capital Management LLC |
|
|
2020 |
NC-SEC |
$60,000 |
The Source |
|
|
2020 |
NC-SEC |
$5,000 |
White Birch Brewing LLC |
|
|
2020 |
NH-BSR |
$5,000 |
GT Advanced Technologies Inc. |
|
|
2020 |
NH-BSR |
$50,000 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
NH-BSR |
$90,000 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
OK-SEC |
$9,968 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
OR-FIN |
$10,599 |
99 Crossings LLC |
|
|
2020 |
OR-FIN |
$50,000 |
Lumentrades Financial Incorporated |
|
|
2020 |
OR-FIN |
$50,000 |
Starline Solutions, LLC |
|
|
2020 |
OR-FIN |
$20,000 |
Strategic Capital Holdings, LLC et al. |
|
|
2020 |
OR-FIN |
$120,000 |
Trickling Springs Creamery, LLC |
|
|
2020 |
PA-BKG |
$4,375,000 |
Lirio LLC |
|
|
2020 |
TN-SEC |
$8,000 |
Jones Wealth Management, LLC |
|
|
2020 |
TN-SEC |
$15,000 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
TN-SEC |
$12,994 |
Next Financial Group, Inc. |
Atria Wealth Solutions |
financial services |
2020 |
TX-SEC |
$600,000 |
Woodland Resources LLC et al. |
|
|
2020 |
TX-SEC |
$20,000 |
LendingClub Corporation |
LendingClub Corp. |
financial services |
2020 |
TX-SEC |
$400,000 |
Lorintine Capital LP |
|
|
2020 |
TX-SEC |
$10,000 |
Challenger Wealth Management |
|
|
2020 |
TX-SEC |
$5,000 |
WealthForge Securities, LLC and WealthForge Holdings, Inc. |
|
|
2020 |
VA-SEC |
$50,000 |
Reye Partners Asset Management, LLC |
|
|
2020 |
VA-SEC |
$6,000 |
HealthSource Chiropractic, Inc. |
|
|
2020 |
VA-SEC |
$89,000 |
My Choice Hair, LLC |
|
|
2020 |
VA-SEC |
$7,000 |
Capitol Securities Management, Inc. |
|
|
2020 |
VA-SEC |
$100,000 |
SNC Capital Management Corporation d/b/a RCM Securities |
|
|
2020 |
VA-SEC |
$5,000 |
Best Western International, Inc. |
|
|
2020 |
VA-SEC |
$13,000 |
Master Networks, LLC |
|
|
2020 |
VA-SEC |
$8,000 |
Skrimp Shack LLC |
|
|
2020 |
VA-SEC |
$25,000 |
Next Financial Group, Inc. |
Atria Wealth Solutions |
financial services |
2020 |
VA-SEC |
$5,000 |
Winthrop Investment Management Co. |
|
|
2020 |
VT-FIN |
$11,250 |
Thornton Investment Management PLLC |
|
|
2020 |
VT-FIN |
$30,000 |
Account Management LLC |
|
|
2020 |
VT-FIN |
$80,000 |