INGALLS & SNYDER LLC
Adviser information for INGALLS & SNYDER LLC last updated from Form ADV on December 22nd, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | SEPTEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 82 |
|---|---|
| Investment Advisory/Research | 45 |
| Registered Broker-Dealer Representatives | 61 |
| Registered State Investment Advisers | 45 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 4 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 5,743 | $5.1B |
| Non-Discretionary | 73 | $153.1M |
| Total | 5,816 | $5.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 3,247 | $1.3B |
| HNW Individuals | 605 | $3.1B |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $138.1M |
| Pension and profit sharing plans | 34 | $79.8M |
| Charitable organizations | 49 | $141.2M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $286.1M |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | 51 | $195.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Educational seminars/workshopsPLEASE SEE "MISCELLANEOUS" ON SCHEDULE D. |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 417.0M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| SELECT UMA | MORGAN STANLEY |
| PERSHING, LLC CMA | PERSHING LLC |
Principal Office
1325 AVENUE OF THE AMERICASNEW YORK
NY
United States
Monday - Friday, 9:00 A.M. TO 5 P.M.
Tel: 212-269-7800, Fax: 212-269-7893
Chief Compliance Officer
CHRISTIAN PARK
CHIEF COMPLIANCE OFFICER
1325 AVENUE OF THE AMERICAS
NEW YORK
NY
United States
Tel:
212-269-7894
Fax:
212 269-9782
C****@**********T
(Full email address available in API data)
Regulatory Contact
FRANK STOLBA
MANAGING DIRECTOR
1325 AVENUE OF THE AMERICAS
NEW YORK
NY
United States
Tel:
212-269-7814
Fax:
(212) 269-7893
F******@**********T
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| IAS ALPHA PARTNERS LP | Hedge Fund | $22.1M | $0.5M | 16 |
| INGALLS & SNYDER VALUE PARTNERS, LP | Hedge Fund | $93.7M | $0.3M | 37 |
| UNDERHILL PARTNERS, LP | Hedge Fund | $22.2M | $1.0M | 13 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BOUCHER, THOMAS ONEIL JR | Individual | – | MANAGING DIRECTOR | 01/1996 | 5-10% |
| DOUGHERTY, JOHN JOSEPH | Individual | – | MANAGING DIRECTOR | 01/1996 | 5-10% |
| STOLBA, FRANK | Individual | – | CHIEF FINANCIAL OFFICER | 02/2011 | 5-10% |
| STOLBA, FRANK | Individual | – | CHIEF OPERATING OFFICER | 02/2011 | 5-10% |
| RIEGEL, GUY RICHARDS | Individual | – | MANAGING DIRECTOR | 07/2011 | 5-10% |
| LANE-ZUCKER, KEITH SIMON | Individual | – | MANAGING DIRECTOR | 07/2011 | 5-10% |
| STOLBA, FRANK | Individual | – | MANAGING DIRECTOR | 07/2011 | 5-10% |
| CASE, ROBERT ANTHONY | Individual | – | CHIEF EXECUTIVE OFFICER | 07/2011 | 5-10% |
| CASE, ROBERT ANTHONY | Individual | – | SENIOR MANAGING DIRECTOR | 09/2011 | 5-10% |
| GARRISON, APHRODITE MAVRICOS | Individual | – | MANAGING DIRECTOR | 03/2012 | 5-10% |
| WESTON, CHRISTINE ELIZABETH | Individual | – | MANAGING DIRECTOR | 01/2013 | 5-10% |
| MEEHAN, SEAN PATRICK | Individual | – | MANAGING DIRECTOR | 01/2014 | 5-10% |
| PARK, CHRISTIAN CHIHONG | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2016 | < 5% |
| THATCHER, JAMES EDWIN | Individual | – | MANAGING DIRECTOR | 01/2017 | 5-10% |
| PARK, CHRISTIAN CHIHONG | Individual | – | SENIOR DIRECTOR | 01/2020 | < 5% |
| JANOVIC, ADAM DAVID | Individual | – | MANAGING DIRECTOR | 01/2023 | 5-10% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 31st, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ARCADIUM LITHIUM PLC | Call | 210 | 63K | – |
| ARCADIUM LITHIUM PLC | COM SHS | 4K | 1M | – |
| CIMPRESS PLC | SHS EURO | 8K | 92K | – |
| COCA-COLA EUROPACIFIC PARTNE | SHS | 2K | 22K | – |
| EVEREST GROUP LTD | COM | 2K | 4K | – |
| WEATHERFORD INTL PLC | ORD SHS | 245 | 2K | – |
| JOHNSON CTLS INTL PLC | SHS | 10K | 158K | – |
| LINDE PLC | SHS | 3K | 8K | – |
| MEDTRONIC PLC | SHS | 2K | 22K | – |
| NOBLE CORP PLC | ORD SHS A | 1K | 24K | – |
| SENSATA TECHNOLOGIES HLDG PL | SHS | 1K | 29K | – |
| LIBERTY LATIN AMERICA LTD | COM CL A | 806 | 84K | – |
| ALCON AG | ORD SHS | 2K | 17K | – |
| BUNGE GLOBAL SA | COM SHS | 976 | 9K | – |
| CHUBB LIMITED | COM | 19K | 73K | – |
| JFROG LTD | ORD SHS | 2K | 58K | – |
| NAYAX LTD | SHS | 229 | 11K | – |
| ASML HOLDING N V | N Y REGISTRY SHS | 973 | 951 | – |
| ELASTIC N V | ORD SHS | 422 | 4K | – |
| AT&T INC | Call | 774 | 41K | – |
| AT&T INC | COM | 3K | 175K | – |
| ABBOTT LABS | COM | 26K | 247K | – |
| ABBVIE INC | COM | 26K | 149K | – |
| ETFS GOLD TR | PHYSCL GOLD SHS | 652 | 29K | – |
| ABRDN PLATINUM ETF TRUST | PHYSCL PLATM SHS | 1K | 14K | – |
| ACCELERATE DIAGNOSTICS INC | NOTE 5.000%12/1 | 241 | – | – |
| ADOBE INC | COM | 4K | 8K | – |
| ADVANCE AUTO PARTS INC | COM | 403 | 6K | – |
| AGNICO EAGLE MINES LTD | COM | 871 | 13K | – |
| AIR LEASE CORP | CL A | 633 | 13K | – |
| AIR PRODS & CHEMS INC | COM | 269 | 1K | – |
| AKAMAI TECHNOLOGIES INC | COM | 852 | 9K | – |
| ALBEMARLE CORP | COM | 2K | 16K | – |
| ALGONQUIN PWR UTILS CORP | COM | 166 | 28K | – |
| ALIGHT INC | COM CL A | 95 | 13K | – |
| ALLISON TRANSMISSION HLDGS I | COM | 2K | 27K | – |
| ALLSTATE CORP | COM | 271 | 2K | – |
| ALPHABET INC | CAP STK CL C | 31K | 167K | – |
| ALPHABET INC | CAP STK CL A | 59K | 322K | – |
| ALTRIA GROUP INC | COM | 215 | 5K | – |
| AMAZON COM INC | COM | 35K | 182K | – |
| U HAUL HOLDING COMPANY | COM | 365 | 6K | – |
| U HAUL HOLDING COMPANY | COM SER N | 2K | 37K | – |
| AMERICAN ELEC PWR CO INC | COM | 213 | 2K | – |
| AMERICAN EXPRESS CO | COM | 2K | 8K | – |
| AMER STATES WTR CO | COM | 301 | 4K | – |
| AMERICAN TOWER CORP NEW | COM | 2K | 11K | – |
| AMERICAN WTR WKS CO INC NEW | COM | 2K | 19K | – |
| AMGEN INC | COM | 5K | 15K | – |
| AMPHENOL CORP NEW | CL A | 3K | 42K | – |
| APPLE INC | COM | 93K | 440K | – |
| APPLIED MATLS INC | COM | 7K | 30K | – |
| APPLIED OPTOELECTRONICS INC | Call | 0 | 300 | – |
| ARCHER DANIELS MIDLAND CO | COM | 229 | 4K | – |
| ARISTA NETWORKS INC | COM | 981 | 3K | – |
| ASTRAZENECA PLC | SPONSORED ADR | 5K | 63K | – |
| AUTOMATIC DATA PROCESSING IN | COM | 4K | 16K | – |
| AVEPOINT INC | COM CL A | 2K | 184K | – |
| BCE INC | COM NEW | 1K | 33K | – |
| BP PLC | SPONSORED ADR | 245 | 7K | – |
| BWX TECHNOLOGIES INC | COM | 207 | 2K | – |
| BANCO BILBAO VIZCAYA ARGENTA | SPONSORED ADR | 105 | 10K | – |
| BANCO SANTANDER S.A. | ADR | 51 | 11K | – |
| BANK AMERICA CORP | Call | 4 | 100 | – |
| BANK AMERICA CORP | COM | 11K | 289K | – |
| BANK NEW YORK MELLON CORP | COM | 1K | 17K | – |
| BARRICK GOLD CORP | COM | 2K | 105K | – |
| BARNWELL INDS INC | COM | 71 | 30K | – |
| BAYTEX ENERGY CORP | COM | 992 | 285K | – |
| BECTON DICKINSON & CO | COM | 525 | 2K | – |
| BERKLEY W R CORP | COM | 253 | 3K | – |
| BERKSHIRE HATHAWAY INC DEL | CL A | 8K | 13 | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 80K | 196K | – |
| BERRY GLOBAL GROUP INC | COM | 662 | 11K | – |
| BHP GROUP LTD | SPONSORED ADS | 4K | 71K | – |
| BIRKS GROUP INC | CL A COM | 45 | 17K | – |
| BLACKROCK RES & COMMODITIES | SHS | 730 | 79K | – |
| BLACKSTONE INC | COM | 314 | 3K | – |
| BOEING CO | COM | 617 | 3K | – |
| BOOKING HOLDINGS INC | COM | 360 | 91 | – |
| BRIGHTHOUSE FINL INC | COM | 1K | 24K | – |
| BRISTOL-MYERS SQUIBB CO | Call | 527 | 13K | – |
| BRISTOL-MYERS SQUIBB CO | COM | 8K | 193K | – |
| BRITISH AMERN TOB PLC | Call | 59 | 2K | – |
| BRITISH AMERN TOB PLC | SPONSORED ADR | 143 | 5K | – |
| BRIXMOR PPTY GROUP INC | COM | 3K | 120K | – |
| BROADCOM INC | COM | 6K | 4K | – |
| BROWN FORMAN CORP | CL B | 799 | 18K | – |
| THE CIGNA GROUP | COM | 421 | 1K | – |
| CVS HEALTH CORP | COM | 2K | 27K | – |
| COTERRA ENERGY INC | COM | 3K | 124K | – |
| CADIZ INC | COM NEW | 332 | 107K | – |
| CAMECO CORP | COM | 599 | 12K | – |
| CANADIAN NAT RES LTD | Call | 392 | 11K | – |
| CANADIAN NAT RES LTD | COM | 96K | 3M | – |
| CANADIAN PACIFIC KANSAS CITY | COM | 2K | 21K | – |
| CAPITAL ONE FINL CORP | COM | 442 | 3K | – |
| CARDLYTICS INC | COM | 267 | 32K | – |
| CARRIER GLOBAL CORPORATION | COM | 767 | 12K | – |
| CATERPILLAR INC | COM | 2K | 5K | – |
| CHARGEPOINT HOLDINGS INC | COM CL A | 18 | 12K | – |
| CHARTER COMMUNICATIONS INC N | CL A | 306 | 1K | – |
| CHEVRON CORP NEW | Call | 125 | 800 | – |
| CHEVRON CORP NEW | COM | 9K | 58K | – |
| CISCO SYS INC | COM | 5K | 107K | – |
| CITIGROUP INC | Call | 1K | 18K | – |
| CITIGROUP INC | COM NEW | 19K | 295K | – |
| COCA COLA CO | COM | 5K | 81K | – |
| COGNIZANT TECHNOLOGY SOLUTIO | CL A | 293 | 4K | – |
| COLGATE PALMOLIVE CO | COM | 2K | 23K | – |
| COMCAST CORP NEW | CL A | 1K | 32K | – |
| CONOCOPHILLIPS | COM | 2K | 14K | – |
| CONSOLIDATED EDISON INC | COM | 2K | 19K | – |
| CONSTELLATION ENERGY CORP | COM | 825 | 4K | – |
| COPART INC | COM | 19K | 344K | – |
| CORCEPT THERAPEUTICS INC | Call | 260 | 8K | – |
| CORCEPT THERAPEUTICS INC | COM | 268K | 8M | – |
| CORNING INC | COM | 788 | 20K | – |
| CORTEVA INC | COM | 255 | 5K | – |
| COSTCO WHSL CORP NEW | COM | 1K | 2K | – |
| COUPANG INC | Call | 210 | 10K | – |
| COUPANG INC | CL A | 515 | 25K | – |
| CREDIT ACCEP CORP MICH | COM | 17K | 33K | – |
| CROWDSTRIKE HLDGS INC | CL A | 2K | 6K | – |
| CTO RLTY GROWTH INC NEW | COM | 7K | 396K | – |
| D R HORTON INC | COM | 713 | 5K | – |
| DTE ENERGY CO | COM | 585 | 5K | – |
| DALLASNEWS CORPORATION | COM SER A | 50 | 14K | – |
| DANAHER CORPORATION | COM | 434 | 2K | – |
| DATADOG INC | CL A COM | 241 | 2K | – |
| DEERE & CO | COM | 22K | 60K | – |
| DELTA AIR LINES INC DEL | COM NEW | 7K | 155K | – |
| DEVON ENERGY CORP NEW | Call | 787 | 17K | – |
| DEVON ENERGY CORP NEW | COM | 1K | 30K | – |
| DIAGEO PLC | SPON ADR NEW | 855 | 7K | – |
| DISNEY WALT CO | COM | 2K | 22K | – |
| DOMINION ENERGY INC | COM | 605 | 12K | – |
| DORCHESTER MINERALS LP | COM UNIT | 290 | 9K | – |
| DOVER CORP | COM | 590 | 3K | – |
| DOW INC | COM | 276 | 5K | – |
| DROPBOX INC | NOTE 3/0 | 2K | – | – |
| DROPBOX INC | CL A | 1K | 62K | – |
| DUCOMMUN INC DEL | COM | 8K | 130K | – |
| DUKE ENERGY CORP NEW | COM NEW | 1K | 14K | – |
| DUPONT DE NEMOURS INC | COM | 10K | 121K | – |
| DURECT CORP | COM NEW | 3K | 2M | – |
| ETFIS SER TR I | VIRTUS REAVES UT | 618 | 12K | – |
| EASTGROUP PPTYS INC | COM | 425 | 3K | – |
| EBAY INC. | COM | 14K | 264K | – |
| ECOLAB INC | COM | 2K | 8K | – |
| EDWARDS LIFESCIENCES CORP | COM | 948 | 10K | – |
| ELEDON PHARMACEUTICALS INC | COM | 137 | 52K | – |
| EMERSON ELEC CO | COM | 4K | 34K | – |
| ENBRIDGE INC | COM | 4K | 112K | – |
| ENERGY TRANSFER L P | COM UT LTD PTN | 302 | 19K | – |
| ENPHASE ENERGY INC | COM | 753 | 8K | – |
| ENTERPRISE PRODS PARTNERS L | COM | 434 | 15K | – |
| EQUINOX GOLD CORP | COM | 114 | 22K | – |
| ESPERION THERAPEUTICS INC NE | NOTE 4.000%11/1 | 813 | – | – |
| ESSENTIAL UTILS INC | COM | 498 | 13K | – |
| ETSY INC | NOTE 0.125%10/0 | 440 | – | – |
| ETSY INC | NOTE 0.125% 9/0 | 317 | – | – |
| EXELON CORP | COM | 529 | 15K | – |
| EXPEDIA GROUP INC | COM NEW | 14K | 113K | – |
| EZCORP INC | CL A NON VTG | 120 | 11K | – |
| EXXON MOBIL CORP | COM | 106K | 922K | – |
| META PLATFORMS INC | CL A | 25K | 49K | – |
| FEDEX CORP | COM | 2K | 6K | – |
| FIDELITY NATIONAL FINANCIAL | FNF GROUP COM | 667 | 13K | – |
| FISERV INC | COM | 259 | 2K | – |
| FLOOR & DECOR HLDGS INC | CL A | 1K | 13K | – |
| FORD MTR CO DEL | Call | 369 | 29K | – |
| FORD MTR CO DEL | COM | 4K | 318K | – |
| FORTUNA MNG CORP | COM NE | 178 | 37K | – |
| FOX CORP | CL A COM | 843 | 25K | – |
| FREEPORT-MCMORAN INC | CL B | 13K | 258K | – |
| FURY GOLD MINES LIMITED | COM | 827 | 2M | – |
| GALLAGHER ARTHUR J & CO | COM | 600 | 2K | – |
| GE VERNOVA INC | COM | 319 | 2K | – |
| GENERAC HLDGS INC | COM | 595 | 4K | – |
| GE AEROSPACE | COM NEW | 1K | 8K | – |
| GENERAL MLS INC | COM | 2K | 24K | – |
| GENERAL MTRS CO | COM | 232 | 5K | – |
| GENMAB A/S | SPONSORED ADS | 6K | 230K | – |
| GETTY RLTY CORP NEW | COM | 5K | 175K | – |
| GSK PLC | SPONSORED ADR | 1K | 28K | – |
| GLOBAL INDUSTRIAL COMPANY | COM | 2K | 80K | – |
| GLOBE LIFE INC | COM | 14K | 165K | – |
| GODADDY INC | CL A | 6K | 41K | – |
| GOLDMAN SACHS GROUP INC | COM | 21K | 46K | – |
| GRAY TELEVISION INC | COM | 182 | 35K | – |
| HP INC | Call | 760 | 22K | – |
| HP INC | COM | 4K | 108K | – |
| HALEON PLC | SPON ADS | 262 | 32K | – |
| HERON THERAPEUTICS INC | COM | 47 | 13K | – |
| HERSHEY CO | COM | 405 | 2K | – |
| HEWLETT PACKARD ENTERPRISE C | COM | 2K | 88K | – |
| HEXCEL CORP NEW | COM | 25K | 401K | – |
| HOME DEPOT INC | COM | 27K | 78K | – |
| HONEYWELL INTL INC | COM | 439 | 2K | – |
| HOWARD HUGHES HOLDINGS INC | COM | 8K | 120K | – |
| HUBBELL INC | COM | 1K | 3K | – |
| HUNTSMAN CORP | Call | 1K | 63K | – |
| HUNTSMAN CORP | COM | 2K | 73K | – |
| I-80 GOLD CORP | COM | 174 | 166K | – |
| IDEXX LABS INC | COM | 258 | 530 | – |
| ILLINOIS TOOL WKS INC | COM | 2K | 10K | – |
| IMMUNOPRECISE ANTIBODIES LTD | COM NEW | 1K | 1M | – |
| INNOSPEC INC | COM | 4K | 29K | – |
| INTEL CORP | COM | 5K | 162K | – |
| INTERCONTINENTAL EXCHANGE IN | COM | 7K | 48K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 3K | 19K | – |
| INTERNATIONAL PAPER CO | COM | 386 | 9K | – |
| INVESCO QQQ TR | UNIT SER 1 | 1K | 3K | – |
| INTUITIVE SURGICAL INC | COM NEW | 2K | 4K | – |
| INUVO INC | COM NEW | 23 | 88K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 586 | 4K | – |
| IRON MTN INC DEL | COM | 1K | 11K | – |
| ISHARES SILVER TR | ISHARES | 720 | 27K | – |
| ISHARES GOLD TR | ISHARES NEW | 568 | 13K | – |
| ISHARES TR | CORE S&P500 ETF | 638 | 1K | – |
| ISHARES TR | CORE US AGGBD ET | 1K | 12K | – |
| ISHARES TR | 1 3 YR TREAS BD | 292 | 4K | – |
| ISHARES TR | RUS 1000 ETF | 206 | 693 | – |
| ISHARES TR | RUS 2000 GRW ETF | 238 | 907 | – |
| ISHARES TR | ISHS 1-5YR INVS | 1K | 25K | – |
| JPMORGAN CHASE & CO. | COM | 47K | 231K | – |
| JAPAN SMALLER CAPITALIZATION | COM | 152 | 20K | – |
| JETBLUE AWYS CORP | COM | 684 | 112K | – |
| JOHNSON & JOHNSON | COM | 13K | 92K | – |
| KKR & CO INC | COM | 3K | 33K | – |
| KENVUE INC | COM | 12K | 685K | – |
| KIMBERLY-CLARK CORP | COM | 1K | 10K | – |
| KINDER MORGAN INC DEL | COM | 3K | 175K | – |
| KNIFE RIVER CORP | COMMON STOCK | 379 | 5K | – |
| KORN FERRY | COM NEW | 1K | 21K | – |
| KRAFT HEINZ CO | COM | 3K | 92K | – |
| KROGER CO | COM | 276 | 6K | – |
| L3HARRIS TECHNOLOGIES INC | COM | 259 | 1K | – |
| LABCORP HOLDINGS INC | COM SH | 241 | 1K | – |
| LIBERTY ALL STAR EQUITY FD | SH BEN INT | 125 | 18K | – |
| ELI LILLY & CO | COM | 7K | 7K | – |
| LITHIUM AMERS CORP NEW | COM SHS | 68 | 25K | – |
| LITHIUM AMERICAS ARGENTINA C | COM SHS | 81 | 25K | – |
| LOCKHEED MARTIN CORP | COM | 303 | 649 | – |
| LOWES COS INC | COM | 2K | 11K | – |
| M & T BK CORP | COM | 318 | 2K | – |
| MDU RES GROUP INC | COM | 966 | 38K | – |
| MACYS INC | Call | 703 | 37K | – |
| MACYS INC | COM | 224 | 12K | – |
| MARATHON PETE CORP | COM | 3K | 16K | – |
| MASTERCARD INCORPORATED | CL A | 6K | 14K | – |
| MCCORMICK & CO INC | COM NON VTG | 353 | 5K | – |
| MCDONALDS CORP | COM | 252 | 988 | – |
| MCKESSON CORP | COM | 5K | 9K | – |
| MERCADOLIBRE INC | COM | 575 | 350 | – |
| MERCK & CO INC | COM | 31K | 247K | – |
| METLIFE INC | COM | 223 | 3K | – |
| MICROSOFT CORP | COM | 98K | 219K | – |
| MICRON TECHNOLOGY INC | COM | 2K | 12K | – |
| MIZUHO FINANCIAL GROUP INC | SPONSORED ADR | 85 | 20K | – |
| MONDELEZ INTL INC | CL A | 5K | 73K | – |
| MONGODB INC | NOTE 0.250% 1/1 | 1K | – | – |
| MOODYS CORP | COM | 2K | 5K | – |
| MUELLER INDS INC | COM | 302 | 5K | – |
| MURPHY USA INC | COM | 221 | 470 | – |
| NETFLIX INC | COM | 2K | 3K | – |
| NEW GOLD INC CDA | COM | 111 | 57K | – |
| NEW JERSEY RES CORP | COM | 242 | 6K | – |
| NEW YORK CMNTY BANCORP INC | COM | 32 | 10K | – |
| NEXSTAR MEDIA GROUP INC | COMMON STOCK | 581 | 4K | – |
| NEXTERA ENERGY INC | COM | 5K | 67K | – |
| NEXTNAV INC | COMMON STOCK | 2K | 297K | – |
| NEXTNAV INC | *W EXP 99/99/999 | 84 | 27K | – |
| NIKE INC | CL B | 222 | 3K | – |
| NISOURCE INC | COM | 686 | 24K | – |
| NORFOLK SOUTHN CORP | COM | 11K | 51K | – |
| NORTHWEST NAT HLDG CO | COM | 432 | 12K | – |
| NOVAGOLD RES INC | COM NEW | 50 | 15K | – |
| NOVARTIS AG | SPONSORED ADR | 12K | 114K | – |
| NOVO-NORDISK A S | ADR | 7K | 51K | – |
| NVIDIA CORPORATION | COM | 26K | 211K | – |
| OGE ENERGY CORP | COM | 2K | 63K | – |
| OCCIDENTAL PETE CORP | COM | 11K | 178K | – |
| OMEGA HEALTHCARE INVS INC | COM | 262 | 8K | – |
| OMEROS CORP | NOTE 5.250% 2/1 | 450 | – | – |
| OMEROS CORP | COM | 19K | 5M | – |
| ONE GAS INC | COM | 460 | 7K | – |
| ONEOK INC NEW | COM | 5K | 61K | – |
| OPPFI INC | *W EXP 07/20/202 | 11 | 86K | – |
| ORACLE CORP | COM | 8K | 57K | – |
| OSISKO GOLD ROYALTIES LTD | COM | 196 | 13K | – |
| OTIS WORLDWIDE CORP | COM | 539 | 6K | – |
| OWENS CORNING NEW | COM | 479 | 3K | – |
| PAGERDUTY INC | NOTE 1.250% 7/0 | 1K | – | – |
| PAGERDUTY INC | Call | 53 | 2K | – |
| PAGERDUTY INC | COM | 2K | 79K | – |
| PALO ALTO NETWORKS INC | COM | 2K | 7K | – |
| PAN AMERN SILVER CORP | COM | 32K | 2M | – |
| REPOSITRAK INC | COM NEW | 3K | 183K | – |
| PARKER-HANNIFIN CORP | COM | 4K | 8K | – |
| PAYPAL HLDGS INC | COM | 7K | 114K | – |
| PEMBINA PIPELINE CORP | COM | 1K | 37K | – |
| PEPSICO INC | COM | 11K | 70K | – |
| PERMIAN BASIN RTY TR | UNIT BEN INT | 228 | 20K | – |
| PFIZER INC | Call | 2K | 58K | – |
| PFIZER INC | COM | 17K | 622K | – |
| PHILIP MORRIS INTL INC | Call | 122 | 1K | – |
| PHILIP MORRIS INTL INC | COM | 827 | 8K | – |
| PHILLIPS 66 | COM | 1K | 10K | – |
| PIEDMONT LITHIUM INC | COM | 111 | 11K | – |
| PINTEREST INC | CL A | 588 | 13K | – |
| PROCTER AND GAMBLE CO | COM | 38K | 233K | – |
| PROLOGIS INC. | COM | 1K | 11K | – |
| PROSHARES TR | PET CARE ETF | 327 | 6K | – |
| P3 HEALTH PARTNERS INC | COM CL A | 5 | 10K | – |
| PUBLIC SVC ENTERPRISE GRP IN | COM | 307 | 4K | – |
| QUALCOMM INC | COM | 5K | 26K | – |
| QUANTA SVCS INC | COM | 2K | 9K | – |
| RH | COM | 1K | 5K | – |
| RPM INTL INC | COM | 1K | 13K | – |
| RANGE RES CORP | COM | 27K | 797K | – |
| RTX CORPORATION | COM | 19K | 188K | – |
| REALTY INCOME CORP | COM | 483 | 9K | – |
| REPUBLIC SVCS INC | COM | 4K | 21K | – |
| RIO TINTO PLC | SPONSORED ADR | 528 | 8K | – |
| ROPER TECHNOLOGIES INC | COM | 32K | 56K | – |
| ROSS STORES INC | COM | 381 | 3K | – |
| SHELL PLC | SPON ADS | 1K | 15K | – |
| S&P GLOBAL INC | COM | 1K | 3K | – |
| SEI INVTS CO | COM | 3K | 42K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 2K | 4K | – |
| SPDR GOLD TR | GOLD SHS | 6K | 28K | – |
| SPDR INDEX SHS FDS | GLB NAT RESRCE | 1K | 19K | – |
| SPDR SER TR | Call | 1K | 27K | – |
| SPDR SER TR | S&P REGL BKG | 35 | 715 | – |
| SPDR SER TR | S&P BIOTECH | 461 | 5K | – |
| SALESFORCE INC | COM | 2K | 7K | – |
| SAN JUAN BASIN RTY TR | UNIT BEN INT | 141 | 35K | – |
| SANOFI | SPONSORED ADR | 817 | 17K | – |
| SAP SE | SPON ADR | 252 | 1K | – |
| SCHLUMBERGER LTD | COM STK | 746 | 16K | – |
| SELECT SECTOR SPDR TR | SBI MATERIALS | 357 | 4K | – |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 1K | 9K | – |
| SELECT SECTOR SPDR TR | SBI CONS STPLS | 488 | 6K | – |
| SELECT SECTOR SPDR TR | SBI CONS DISCR | 1K | 6K | – |
| SELECT SECTOR SPDR TR | FINANCIAL | 1K | 36K | – |
| SELECT SECTOR SPDR TR | INDL | 447 | 4K | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 3K | 13K | – |
| SELECT SECTOR SPDR TR | COMMUNICATION | 1K | 12K | – |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 331 | 5K | – |
| SHF HOLDINGS INC | CLASS A COM | 57 | 106K | – |
| SHIFT4 PMTS INC | CL A | 6K | 83K | – |
| SILVERCREST METALS INC | COM | 128 | 16K | – |
| SKEENA RES LTD NEW | COM | 1K | 200K | – |
| SMARTSHEET INC | Call | 115 | 3K | – |
| SMARTSHEET INC | COM CL A | 1K | 25K | – |
| SMUCKER J M CO | COM NEW | 421 | 4K | – |
| SOUTHSTATE CORPORATION | COM | 379 | 5K | – |
| SOUTHWESTERN ENERGY CO | COM | 2K | 263K | – |
| SPROTT PHYSICAL GOLD TR | UNIT | 562 | 31K | – |
| STAR HLDGS | SHS BEN INT | 833 | 69K | – |
| STARBUCKS CORP | COM | 509 | 7K | – |
| STMICROELECTRONICS N V | NY REGISTRY | 4K | 112K | – |
| STRATEGIC ED INC | COM | 2K | 21K | – |
| STRATUS PPTYS INC | COM NEW | 24K | 951K | – |
| STRYKER CORPORATION | COM | 4K | 12K | – |
| SUPERNUS PHARMACEUTICALS INC | COM | 580 | 22K | – |
| SYSCO CORP | COM | 210 | 3K | – |
| T-MOBILE US INC | COM | 19K | 108K | – |
| TMC THE METALS COMPANY INC | COM | 27 | 20K | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 6K | 36K | – |
| TASEKO MINES LTD | COM | 215 | 88K | – |
| TC ENERGY CORP | COM | 426 | 11K | – |
| TECK RESOURCES LTD | CL B | 26K | 544K | – |
| TELUS CORPORATION | COM | 289 | 19K | – |
| TESLA INC | COM | 878 | 4K | – |
| TETRA TECH INC NEW | COM | 210 | 1K | – |
| TEXAS INSTRS INC | COM | 2K | 9K | – |
| TEXAS PACIFIC LAND CORPORATI | COM | 252 | 343 | – |
| THERMO FISHER SCIENTIFIC INC | COM | 664 | 1K | – |
| 3M CO | COM | 244 | 2K | – |
| TOTALENERGIES SE | SPONSORED ADS | 6K | 94K | – |
| TRUPANION INC | COM | 2K | 63K | – |
| TRUIST FINL CORP | COM | 4K | 91K | – |
| UGI CORP NEW | COM | 327 | 14K | – |
| UNILEVER PLC | SPON ADR NEW | 20K | 367K | – |
| UNION PAC CORP | COM | 12K | 53K | – |
| UNITED PARCEL SERVICE INC | CL B | 842 | 6K | – |
| UNITEDHEALTH GROUP INC | COM | 4K | 8K | – |
| UNIVERSAL HLTH SVCS INC | CL B | 277 | 2K | – |
| VALERO ENERGY CORP | COM | 274 | 2K | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 360 | 3K | – |
| VANGUARD WORLD FD | CONSUM DIS ETF | 679 | 2K | – |
| VANGUARD WORLD FD | CONSUM STP ETF | 384 | 2K | – |
| VANGUARD WORLD FD | FINANCIALS ETF | 1K | 13K | – |
| VANGUARD WORLD FD | HEALTH CAR ETF | 1K | 5K | – |
| VANGUARD WORLD FD | INDUSTRIAL ETF | 335 | 1K | – |
| VANGUARD WORLD FD | INF TECH ETF | 948 | 2K | – |
| VANGUARD WORLD FD | MATERIALS ETF | 301 | 2K | – |
| VANGUARD WORLD FD | COMM SRVC ETF | 480 | 3K | – |
| VENTAS INC | COM | 210 | 4K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 3K | 6K | – |
| VANGUARD INDEX FDS | GROWTH ETF | 2K | 5K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 300 | 1K | – |
| VERIZON COMMUNICATIONS INC | COM | 4K | 101K | – |
| VERISK ANALYTICS INC | COM | 2K | 6K | – |
| VERICEL CORP | COM | 960 | 21K | – |
| VERTEX PHARMACEUTICALS INC | COM | 435 | 927 | – |
| PARAMOUNT GLOBAL | CLASS B COM | 2K | 162K | – |
| VIATRIS INC | COM | 2K | 194K | – |
| VICI PPTYS INC | COM | 521 | 18K | – |
| VISA INC | COM CL A | 6K | 24K | – |
| WALMART INC | COM | 4K | 65K | – |
| WARNER BROS DISCOVERY INC | COM SER A | 1K | 135K | – |
| WASTE MGMT INC DEL | COM | 4K | 20K | – |
| WATERS CORP | COM | 374 | 1K | – |
| WAYFAIR INC | CL A | 5K | 99K | – |
| WELLS FARGO CO NEW | COM | 762 | 13K | – |
| WELLS FARGO CO NEW | PERP PFD CNV A | 598 | 503 | – |
| WELLTOWER INC | COM | 659 | 6K | – |
| WESTROCK CO | COM | 250 | 5K | – |
| WEYERHAEUSER CO MTN BE | COM NEW | 484 | 17K | – |
| WHEATON PRECIOUS METALS CORP | COM | 284 | 5K | – |
| WILLIAMS COS INC | COM | 67K | 2M | – |
| WILLIAMS SONOMA INC | COM | 9K | 30K | – |
| WILLSCOT MOBIL MINI HLDNG CO | COM CL A | 744 | 20K | – |
| WORKIVA INC | COM CL A | 5K | 71K | – |
| WORLD ACCEP CORPORATION | COM | 7K | 60K | – |
| XCEL ENERGY INC | COM | 301 | 6K | – |
| YELP INC | CL A | 4K | 104K | – |
| YUM BRANDS INC | COM | 212 | 2K | – |
| ZETA GLOBAL HOLDINGS CORP | CL A | 2K | 104K | – |
| ZIONS BANCORPORATION N A | Call | 325 | 8K | – |
| ZIONS BANCORPORATION N A | COM | 1K | 25K | – |
| ZOETIS INC | CL A | 2K | 13K | – |