Insider Trading in Industry of Security And Commodity Brokers, Dealers, Exchanges, And Services

The following are the most recent form 4 filings (Statement of Changes in Beneficial Ownership) filed with the U.S. Securities and Exchange Commission (SEC) by insiders in the industry of Security And Commodity Brokers, Dealers, Exchanges, And Services. Use the links in the Company column and the Insider column to view the insider trading activities of a company or a corporate insider.

Note: Only open market buys (B) and sales (S) are included in the table below.

Company
(Symbol)		Insider Shares & price Report Date
AssetMark Financial Holdings, Inc. (AMK) Mehta Mukesh (EVP, Chief Information Officer) 9377 (S) $27.06 2021-09-02
PRICE T ROWE GROUP INC (TROW) Page Sebastien (Vice President) 7667 (S) $220.95 2021-09-02
Morningstar, Inc. (MORN) Mansueto Joseph D (Executive Chairman) 23744 (S) $277.56 2021-09-01
GAMCO INVESTORS, INC. ET AL (GBL) Associated Capital Group, Inc. (Other) 910 (S) $27.77 2021-08-30
Interactive Brokers Group, Inc. (IBKR) Frank Thomas AJ (Chief Information Officer) 36989 (S) $61.99 2021-08-17
Morningstar, Inc. (MORN) Dunn Daniel Joseph (Chief Revenue Officer) 600 (S) $253.23 2021-08-02
Morningstar, Inc. (MORN) Mansueto Joseph D (Executive Chairman) 28503 (S) $258.39 2021-08-02
GAMCO INVESTORS, INC. ET AL (GBL) Associated Capital Group, Inc. (Other) 1600 (S) $27.70 2021-07-29
Interactive Brokers Group, Inc. (IBKR) Peterffy Thomas (Chairman) 40000 (S) $61.55 2021-07-28
GAMCO INVESTORS, INC. ET AL (GBL) Associated Capital Group, Inc. (Other) 3939 (S) $27.85 2021-07-21
GOLDMAN SACHS GROUP INC (GS) SOLOMON DAVID M (Chairman of the Board and CEO) 13700 (S) $376.68 2021-07-14
SCHWAB CHARLES CORP (SCHW) Schwab Charles R. (Chairman) 28000 (S) $72.99 2021-06-28
WESTWOOD HOLDINGS GROUP INC (WHG) Gomez Fabian (Chief Operating Officer) 885 (S) $21.59 2021-06-25
Blackstone Group Inc (BX) Baratta Joseph (Director) 669 (S) $98.93 2021-06-25
Interactive Brokers Group, Inc. (IBKR) Peterffy Thomas (Chairman) 40000 (S) $65.92 2021-06-25
Morningstar, Inc. (MORN) Mansueto Joseph D (Executive Chairman) 20274 (S) $249.72 2021-06-25
PRICE T ROWE GROUP INC (TROW) BUSH MARY K (Other) 1853 (S) $192.87 2021-06-24
Apollo Global Management, Inc. (APO) Suydam John J (Chief Legal Officer) 170788 (S) $60.00 2021-06-24
Interactive Brokers Group, Inc. (IBKR) Peterffy Thomas (Chairman) 40000 (S) $65.13 2021-06-23
Morningstar, Inc. (MORN) Mansueto Joseph D (Executive Chairman) 10339 (S) $248.06 2021-06-23
SCHWAB CHARLES CORP (SCHW) Schwab Charles R. (Chairman) 28000 (S) $71.30 2021-06-21
Interactive Brokers Group, Inc. (IBKR) Peterffy Thomas (Chairman) 40000 (S) $64.13 2021-06-21
AssetMark Financial Holdings, Inc. (AMK) Mehta Mukesh (EVP, Chief Information Officer) 1617 (S) $27.05 2021-06-17
Interactive Brokers Group, Inc. (IBKR) Peterffy Thomas (Chairman) 40000 (S) $64.72 2021-06-17
Morningstar, Inc. (MORN) Mansueto Joseph D (Executive Chairman) 15056 (S) $242.06 2021-06-17
AssetMark Financial Holdings, Inc. (AMK) Mehta Mukesh (EVP, Chief Information Officer) 100 (S) $27.00 2021-06-16
GAMCO INVESTORS, INC. ET AL (GBL) Associated Capital Group, Inc. (Other) 742 (S) $25.06 2021-06-16
HOULIHAN LOKEY, INC. (HLI) SCHRIESHEIM ROBERT A (Director) 141 (B) $79.35 2021-06-16
FRANKLIN RESOURCES INC (BEN) Byerwalter Mariann H (Director) 2400 (S) $33.91 2021-06-15
Morningstar, Inc. (MORN) Mansueto Joseph D (Executive Chairman) 21076 (S) $239.22 2021-06-15
SCHWAB CHARLES CORP (SCHW) Schwab Charles R. (Chairman) 28000 (S) $73.05 2021-06-14
Apria, Inc. (APR) Blackstone Group Inc (10% owner) 5175000 (S) $25.38 2021-06-14
Ares Management Corp (ARES) BUSH ANTOINETTE COOK (Director) 5106 (B) $58.79 2021-06-14
CME GROUP INC. (CME) CRONIN KATHLEEN M (Sr MD Gen Counsel & Corp Secr) 4092 (S) $215.31 2021-06-14
LPL Financial Holdings Inc. (LPLA) Fandrey Edward (Managing Director) 1930 (S) $139.49 2021-06-14
AssetMark Financial Holdings, Inc. (AMK) Angus Ted F. (EVP, General Counsel) 859 (S) $25.68 2021-06-09
AssetMark Financial Holdings, Inc. (AMK) Zyla Gary G. (EVP, Chief Financial Officer) 859 (S) $25.68 2021-06-09
AssetMark Financial Holdings, Inc. (AMK) Wolfsen Natalie Grace (EVP, Chief Solutions Officer) 945 (S) $25.68 2021-06-09
AssetMark Financial Holdings, Inc. (AMK) Minta-Jacobs Esi (EVP, HR & Project Management) 301 (S) $25.68 2021-06-09
AssetMark Financial Holdings, Inc. (AMK) Mehta Mukesh (EVP, Chief Information Officer) 17231 (S) $26.59 2021-06-09
AssetMark Financial Holdings, Inc. (AMK) Kim Michael (EVP, Chief Client Officer) 945 (S) $25.68 2021-06-09
AssetMark Financial Holdings, Inc. (AMK) Hansen Carrie E. (EVP, Chief Operating Officer) 859 (S) $25.68 2021-06-09
AssetMark Financial Holdings, Inc. (AMK) Chafkin Jeremiah H (EVP, Chief Investment Officer) 430 (S) $25.68 2021-06-09
SCHWAB CHARLES CORP (SCHW) Schwab Charles R. (Chairman) 28000 (S) $75.43 2021-06-07
Morningstar, Inc. (MORN) Mansueto Joseph D (Executive Chairman) 13438 (S) $232.15 2021-06-07
Interactive Brokers Group, Inc. (IBKR) Peterffy Thomas (Chairman) 40000 (S) $68.46 2021-06-03
Morningstar, Inc. (MORN) Mansueto Joseph D (Executive Chairman) 8747 (S) $232.83 2021-06-03
Evercore Inc. (EVR) SCHLOSSTEIN RALPH (Co-CEO/Co-Chairman) 7245 (S) $147.04 2021-06-02
Evercore Inc. (EVR) Walsh Robert B (Principal Financial Officer) 40902 (S) $146.63 2021-06-01
Interactive Brokers Group, Inc. (IBKR) Peterffy Thomas (Chairman) 40000 (S) $67.44 2021-06-01
FEDERATED HERMES, INC. (FHI) Uhlman Paul A (Vice President) 984 (S) $31.73 2021-05-26
GAMCO INVESTORS, INC. ET AL (GBL) Associated Capital Group, Inc. (Other) 17548 (S) $29.40 2021-05-26
Intercontinental Exchange, Inc. (ICE) Surdykowski Andrew J (General Counsel) 1458 (S) $113.08 2021-05-26
Interactive Brokers Group, Inc. (IBKR) Peterffy Thomas (Chairman) 40000 (S) $67.48 2021-05-25
Morningstar, Inc. (MORN) Desmond Bevin (Head of Talent and Culture) 3000 (S) $236.64 2021-05-24
NASDAQ, INC. (NDAQ) Griggs PC Nelson (Executive Vice President) 2000 (S) $165.49 2021-05-24
Blackstone Group Inc (BX) Finley John G (Chief Legal Officer) 36000 (S) $90.57 2021-05-21
Cohen & Co Inc. (COHN) Pooler Joseph W. Jr. (EVP, CFO and Treasurer) 20000 (S) $24.75 2021-05-21
Interactive Brokers Group, Inc. (IBKR) Peterffy Thomas (Chairman) 40000 (S) $67.07 2021-05-21
Morningstar, Inc. (MORN) Mansueto Joseph D (Executive Chairman) 13955 (S) $238.50 2021-05-21
Intercontinental Exchange, Inc. (ICE) CRISP CHARLES R (Director) 7629 (S) $112.10 2021-05-20
Intercontinental Exchange, Inc. (ICE) SPRIESER JUDITH A (Director) 890 (S) $112.13 2021-05-20
RAYMOND JAMES FINANCIAL INC (RJF) Perry Jodi (President, ICD for RJFS) 1850 (S) $132.94 2021-05-20
Blackstone Group Inc (BX) JAMES HAMILTON E (Executive Vice Chairman) 368210 (S) $88.01 2021-05-19
Morningstar, Inc. (MORN) Mansueto Joseph D (Executive Chairman) 20084 (S) $236.00 2021-05-19
Morningstar, Inc. (MORN) Mansueto Joseph D (Executive Chairman) 275 (S) $242.16 2021-05-18
Carlyle Group Inc. (CG) Rubenstein David M. (10% owner) 2000000 (S) $41.76 2021-05-18
VIRTUS INVESTMENT PARTNERS, INC. (VRTS) BRADLEY WILLIAM PATRICK III (EVP, Fund Services) 1000 (S) $279.00 2021-05-18
Morningstar, Inc. (MORN) Diamonte Robin (Director) 250 (S) $242.91 2021-05-17
HENNESSY ADVISORS INC (HNNA) OFFENBACH RODGER (Director) 2000 (S) $9.00 2021-05-17
Cboe Global Markets, Inc. (CBOE) Griebenow Jill (SVP, CAO) 580 (S) $112.98 2021-05-17
SCHWAB CHARLES CORP (SCHW) SCHWAB CHARLES R (Chairman) 44380 (S) $72.00 2021-05-14
GAMCO INVESTORS, INC. ET AL (GBL) GABELLI MARIO J (Chairman & CEO) 25078 (S) $25.42 2021-05-14
Artisan Partners Asset Management Inc. (APAM) DALEY CHARLES J JR (Exec VP, CFO & Treasurer) 19930 (S) $51.77 2021-05-14
FEDERATED HERMES, INC. (FHI) FISHER JOHN B (Vice President) 35293 (S) $33.27 2021-05-13
Virtu Financial, Inc. (VIRT) Fairclough Brett (Co-President & Co-COO) 125000 (S) $28.85 2021-05-13
StoneX Group Inc. (SNEX) FOWLER JOHN MOORE (Director) 6935 (S) $68.41 2021-05-13
Cboe Global Markets, Inc. (CBOE) Tilly Edward T (Chairman, President and CEO) 15000 (S) $115.00 2021-05-13
Interactive Brokers Group, Inc. (IBKR) Peterffy Thomas (Chairman) 40000 (S) $67.83 2021-05-13
Morningstar, Inc. (MORN) Mansueto Joseph D (Executive Chairman) 16105 (S) $245.73 2021-05-13
StoneX Group Inc. (SNEX) Rotsztain Diego (Chief Governance/Legal Officer) 727 (B) $68.50 2021-05-13
Blackstone Group Inc (BX) JAMES HAMILTON E (Executive Vice Chairman) 450000 (S) $85.64 2021-05-12
CME GROUP INC. (CME) Holzrichter Julie (Sr MD Chief Operating Officer) 6000 (S) $213.29 2021-05-12
GAMCO INVESTORS, INC. ET AL (GBL) GABELLI MARIO J (Chairman & CEO) 31191 (S) $24.66 2021-05-12
Invesco Ltd. (IVZ) WOOD PHOEBE A (Director) 8823 (S) $26.65 2021-05-12
FRANKLIN RESOURCES INC (BEN) Shaneyfelt Gwen L (Chief Accounting Officer) 5000 (S) $33.25 2021-05-12
Apollo Global Management, Inc. (APO) RICHARDS PAULINE (Director) 2120 (B) $57.16 2021-05-11
LPL Financial Holdings Inc. (LPLA) Enyedi Matthew (Managing Director) 438 (S) $148.71 2021-05-11
Interactive Brokers Group, Inc. (IBKR) Peterffy Thomas (Chairman) 40000 (S) $67.20 2021-05-11
MEDLEY MANAGEMENT INC. (MDLY) Taube Angelic Diaz (10% owner) 5908 (S) $6.33 2021-05-11
Blackstone Group Inc (BX) JAMES HAMILTON E (Executive Vice Chairman) 556790 (S) $88.97 2021-05-10
GAMCO INVESTORS, INC. ET AL (GBL) GABELLI MARIO J (Chairman & CEO) 6379 (S) $23.21 2021-05-10
GAMCO INVESTORS, INC. ET AL (GBL) Van der Eb Henry (Senior Vice President) 192 (S) $22.84 2021-05-10
RAYMOND JAMES FINANCIAL INC (RJF) Raney Steven M (President & CEO RJBank) 2000 (S) $135.90 2021-05-10
SCHWAB CHARLES CORP (SCHW) SCHWAB CHARLES R (Chairman) 25620 (S) $72.01 2021-05-10
Cboe Global Markets, Inc. (CBOE) Sexton John P (EVP, GC and Corp Sec) 1033 (S) $110.27 2021-05-10
DIAMOND HILL INVESTMENT GROUP INC (DHIL) Line Thomas Edward (Chief Financial Officer) 1500 (S) $177.75 2021-05-10
GOLDMAN SACHS GROUP INC (GS) VINIAR DAVID A (Director) 5000 (S) $372.46 2021-05-10
KKR & Co. Inc. (KKR) Sorkin David (General Counsel and Secretary) 12546 (S) $58.50 2021-05-07
GREENHILL & CO INC (GHL) Ferro Kevin (Director) 42357 (B) $15.91 2021-05-07