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Hercules Capital

Name Holding Trade Value Shares
Change
Change in
Stake
ADL
251
Asset Dedication LLC
California
$3K – – –
RBC
252
Romano Brothers & Co
Illinois
$2.64K +$2.72K +200 New
PTC
253
Private Trust Company
Ohio
$2K – – –
SWM
254
Spire Wealth Management
Virginia
$2K +$54 +4 +3%
GI
255
Gradient Investments
Minnesota
$1.63K +$1.67K +123 New
SIC
256
Salem Investment Counselors
North Carolina
$1.32K -$29.9K -2,200 -96%
GEA
257
Glen Eagle Advisors
New Jersey
$1.32K – – –
CIBC Private Wealth Group
258
CIBC Private Wealth Group
Georgia
$1.3K – – –
PAG
259
Private Advisor Group
New Jersey
$1.02K -$59.7K -4,393 -5%
VNA
260
Valley National Advisers
Pennsylvania
$1K – – –
CA
261
CoreCap Advisors
Michigan
$330 +$326 +24 New
Fidelity Investments
262
Fidelity Investments
Massachusetts
$27 -$14 -1 -33%
OQS
263
Occudo Quantitative Strategies
Florida
– -$1.16M -100,198 Closed
Qube Research & Technologies (QRT)
264
Qube Research & Technologies (QRT)
United Kingdom
– -$832K -71,855 Closed
Baird Financial Group
265
Baird Financial Group
Wisconsin
– -$794K -68,561 Closed
YIH
266
Y-Intercept (HK)
Hong Kong
– -$678K -58,577 Closed
JCM
267
Jag Capital Management
Missouri
– -$457K -39,501 Closed
WP
268
WMS Partners
Maryland
– -$181K -15,632 Closed
WJWM
269
Williams Jones Wealth Management
New York
– -$164K -14,137 Closed
FC
270
FORA Capital
Florida
– -$149K -12,904 Closed
RWA
271
Redhawk Wealth Advisors
Minnesota
– -$134K -11,602 Closed
Mariner
272
Mariner
Kansas
– -$132K -11,397 Closed
NHC
273
Nicholas Hoffman & Company
Georgia
– -$128K -11,078 Closed
AIP
274
Almanack Investment Partners
Pennsylvania
– -$67K -5,811 Closed
WIM
275
Westside Investment Management
California
– -$15 -1,338 Closed