Eton Pharmaceuticals, Inc. - ETON
Detailed investor-level table based on 13F positions.
Methodology:
Market value and % of portfolio use SEC reported VALUE ($000).
For PUT/CALL positions this reflects reported underlying exposure, not premium cash paid/received.
Details.
Rows: 0
| Investor | History | Status | Shares held | Market value ($000) | % of portfolio | Previous % | Rank | Change in shares | % change in shares | Source | Date reported |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Opaleye Management Inc. | History | No change | 2,860,000 | 70,584 | 9.3% | 6.38% | 1 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| EcoR1 Capital, LLC | History | Added to | 2,171,938 | 53,603 | 2.27% | 1.56% | 2 | +141,394 | 6.96% | Q1 2026 | May 15, 2026 |
| BlackRock, Inc. | History | Reduced | 1,717,286 | 42,382 | 0.0% | 0.0% | 3 | -21,621 | -1.24% | Q1 2026 | May 13, 2026 |
| Nantahala Capital Management, LLC | History | No change | 1,175,951 | 29,022 | 1.07% | 0.66% | 4 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| VANGUARD CAPITAL MANAGEMENT LLC | History | New | 994,089 | 24,534 | 0.0% | — | 5 | +994,089 | New | Q1 2026 | May 15, 2026 |
| VANGUARD GROUP INC | History | No change | 1,348,668 | 22,805 | 0.0% | 0.0% | 6 | 0 | 0.0% | Q4 2025 | Jan 29, 2026 |
| GEODE CAPITAL MANAGEMENT, LLC | History | Added to | 577,666 | 14,260 | 0.0% | 0.0% | 7 | +12,615 | 2.23% | Q1 2026 | May 15, 2026 |
| STATE STREET CORP | History | Added to | 530,215 | 13,085 | 0.0% | 0.0% | 8 | +28,290 | 5.64% | Q1 2026 | May 15, 2026 |
| National Philanthropic Trust | History | No change | 492,112 | 12,145 | 0.13% | 0.08% | 9 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| MORGAN STANLEY | History | Reduced | 477,957 | 11,795 | 0.0% | 0.0% | 10 | -15,957 | -3.23% | Q1 2026 | May 15, 2026 |
| Westside Investment Management, Inc. | History | Reduced | 467,915 | 11,548 | 1.77% | 1.27% | 11 | -3,025 | -0.64% | Q1 2026 | May 04, 2026 |
| OBERWEIS ASSET MANAGEMENT INC/ | History | Added to | 439,300 | 10,841 | 0.32% | 0.27% | 12 | +8,000 | 1.85% | Q1 2026 | May 15, 2026 |
| THOMPSON SIEGEL & WALMSLEY LLC | History | Reduced | 406,089 | 10,022 | 0.18% | 0.12% | 13 | -2,452 | -0.6% | Q1 2026 | May 11, 2026 |
| Pillsbury Lake Capital LLC | History | New | 364,954 | 9,007 | 4.07% | — | 14 | +364,954 | New | Q1 2026 | May 14, 2026 |
| CANNELL CAPITAL LLC | History | Added to | 341,985 | 8,440 | 5.18% | 1.78% | 15 | +125,068 | 57.66% | Q1 2026 | May 15, 2026 |
| BNP PARIBAS FINANCIAL MARKETS | History | Added to | 302,108 | 7,456 | 0.0% | 0.0% | 16 | +24,650 | 8.88% | Q1 2026 | May 12, 2026 |
| NORTHERN TRUST CORP | History | Added to | 237,832 | 5,869 | 0.0% | 0.0% | 17 | +5,983 | 2.58% | Q1 2026 | May 14, 2026 |
| GOLDMAN SACHS GROUP INC | History | Added to | 217,446 | 5,366 | 0.0% | 0.0% | 18 | +21,183 | 10.79% | Q1 2026 | May 15, 2026 |
| PRELUDE CAPITAL MANAGEMENT, LLC | History | Added to | 188,802 | 4,659 | 0.36% | 0.06% | 19 | +143,477 | 316.55% | Q1 2026 | May 15, 2026 |
| Aristides Capital LLC | History | Added to | 186,041 | 4,591 | 0.99% | 0.48% | 20 | +24,605 | 15.24% | Q1 2026 | May 14, 2026 |
| Panoramic Capital, LLC | History | New | 185,000 | 4,565 | 3.21% | — | 21 | +185,000 | New | Q1 2026 | May 15, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Added to | 179,784 | 4,437 | 0.0% | 0.0% | 22 | +117,384 | 188.12% | Q1 2026 | May 15, 2026 |
| Lumbard & Kellner, LLC | History | Added to | 175,911 | 4,341 | 1.5% | 1.04% | 23 | +967 | 0.55% | Q1 2026 | May 15, 2026 |
| Woodline Partners LP | History | Added to | 170,699 | 4,212 | 0.02% | 0.01% | 24 | +75,212 | 78.77% | Q1 2026 | May 15, 2026 |
| UBS Group AG | History | Added to | 168,958 | 4,169 | 0.0% | 0.0% | 25 | +42,284 | 33.38% | Q1 2026 | May 05, 2026 |
| Soleus Capital Management, L.P. | History | New | 166,381 | 4,106 | 0.17% | — | 26 | +166,381 | New | Q1 2026 | May 14, 2026 |
| VANGUARD FIDUCIARY TRUST CO | History | New | 164,715 | 4,065 | 0.0% | — | 27 | +164,715 | New | Q1 2026 | May 08, 2026 |
| RENAISSANCE TECHNOLOGIES LLC | History | Reduced | 163,321 | 4,030 | 0.01% | 0.01% | 28 | -42,379 | -20.6% | Q1 2026 | May 14, 2026 |
| Diametric Capital, LP | History | Reduced | 156,926 | 3,872 | 1.01% | 0.88% | 29 | -36,229 | -18.76% | Q1 2026 | May 15, 2026 |
| JPMORGAN CHASE & CO | History | Reduced | 169,876 | 3,835 | 0.0% | 0.0% | 30 | -15,563 | -8.39% | Q1 2026 | May 13, 2026 |
| VANGUARD PORTFOLIO MANAGEMENT LLC | History | New | 151,748 | 3,745 | 0.0% | — | 31 | +151,748 | New | Q1 2026 | May 08, 2026 |
| CITADEL ADVISORS LLC | History | Added to | 151,715 | 3,744 | 0.0% | 0.0% | 32 | +66,671 | 78.4% | Q1 2026 | May 15, 2026 |
| BANK OF AMERICA CORP /DE/ | History | Added to | 144,367 | 3,562 | 0.0% | 0.0% | 33 | +39,571 | 37.76% | Q1 2026 | May 15, 2026 |
| JANE STREET GROUP, LLC | History | Added to | 133,520 | 3,295 | 0.0% | 0.0% | 34 | +49,064 | 58.09% | Q1 2026 | May 12, 2026 |
| Bank of New York Mellon Corp | History | Reduced | 111,255 | 2,745 | 0.0% | 0.0% | 35 | -16,445 | -12.88% | Q1 2026 | May 05, 2026 |
| TWO SIGMA INVESTMENTS, LP | History | Added to | 106,393 | 2,625 | 0.0% | 0.0% | 36 | +29,791 | 38.89% | Q1 2026 | May 15, 2026 |
| MARSHALL WACE, LLP | History | New | 82,721 | 2,041 | 0.0% | — | 37 | +82,721 | New | Q1 2026 | May 14, 2026 |
| Walleye Capital LLC | History | New | 81,963 | 2,022 | 0.01% | — | 38 | +81,963 | New | Q1 2026 | May 13, 2026 |
| WELLINGTON MANAGEMENT GROUP LLP | History | Reduced | 70,124 | 1,730 | 0.0% | 0.0% | 39 | -11,077 | -13.64% | Q1 2026 | May 15, 2026 |
| CHARLES SCHWAB INVESTMENT MANAGEMENT INC | History | Reduced | 68,795 | 1,697 | 0.0% | 0.0% | 40 | -8,417 | -10.9% | Q1 2026 | May 15, 2026 |
| SEI INVESTMENTS CO | History | New | 58,034 | 1,432 | 0.0% | — | 41 | +58,034 | New | Q1 2026 | May 13, 2026 |
| Nuveen, LLC | History | Reduced | 57,950 | 1,430 | 0.0% | 0.0% | 42 | -967 | -1.64% | Q1 2026 | Apr 30, 2026 |
| BOOTHBAY FUND MANAGEMENT, LLC | History | New | 55,605 | 1,372 | 0.02% | — | 43 | +55,605 | New | Q1 2026 | May 15, 2026 |
| XTX Topco Ltd | History | Added to | 51,772 | 1,277 | 0.02% | 0.01% | 44 | +19,245 | 59.17% | Q1 2026 | May 15, 2026 |
| BARCLAYS PLC | History | Reduced | 49,374 | 1,218 | 0.0% | 0.0% | 45 | -2,074 | -4.03% | Q1 2026 | May 14, 2026 |
| Informed Momentum Co LLC | History | New | 48,623 | 1,200 | 0.14% | — | 46 | +48,623 | New | Q1 2026 | May 13, 2026 |
| Connor, Clark & Lunn Investment Management Ltd. | History | Reduced | 42,693 | 1,053 | 0.0% | 0.0% | 47 | -33,893 | -44.25% | Q1 2026 | May 11, 2026 |
| ANCHOR CAPITAL ADVISORS LLC | History | Added to | 40,858 | 1,008 | 0.03% | 0.02% | 48 | +190 | 0.47% | Q1 2026 | May 12, 2026 |
| Manatuck Hill Partners, LLC | History | New | 40,000 | 987 | 0.27% | — | 49 | +40,000 | New | Q1 2026 | May 15, 2026 |
| Numerai GP LLC | History | New | 37,356 | 921 | 0.09% | — | 50 | +37,356 | New | Q1 2026 | May 15, 2026 |
| BLAIR WILLIAM & CO/IL | History | No change | 32,400 | 799 | 0.0% | 0.0% | 51 | 0 | 0.0% | Q1 2026 | May 08, 2026 |
| RHUMBLINE ADVISERS | History | Added to | 30,726 | 758 | 0.0% | 0.0% | 52 | +290 | 0.95% | Q1 2026 | May 12, 2026 |
| POLEN CAPITAL MANAGEMENT LLC | History | New | 30,138 | 743 | 0.01% | — | 53 | +30,138 | New | Q1 2026 | May 14, 2026 |
| Guilbault Capital LLC | History | No change | 23,225 | 573 | 0.63% | 0.44% | 54 | 0 | 0.0% | Q1 2026 | May 14, 2026 |
| Invesco Ltd. | History | Added to | 22,874 | 564 | 0.0% | 0.0% | 55 | +3,183 | 16.16% | Q1 2026 | May 12, 2026 |
| Brevan Howard Capital Management LP | History | New | 22,506 | 555 | 0.0% | — | 56 | +22,506 | New | Q1 2026 | May 15, 2026 |
| DEUTSCHE BANK AG\ | History | Added to | 21,136 | 521 | 0.0% | 0.0% | 57 | +2,887 | 15.82% | Q1 2026 | May 06, 2026 |
| Bridge City Capital, LLC | History | Added to | 21,150 | 521 | 0.14% | 0.09% | 58 | +2,550 | 13.71% | Q1 2026 | May 13, 2026 |
| ESSEX INVESTMENT MANAGEMENT CO LLC | History | No change | 20,182 | 498 | 0.08% | 0.05% | 59 | 0 | 0.0% | Q1 2026 | May 11, 2026 |
| JUNCTURE WEALTH STRATEGIES, LLC | History | Added to | 19,181 | 473 | 0.16% | 0.11% | 60 | +185 | 0.97% | Q1 2026 | Apr 14, 2026 |
| STATE OF WISCONSIN INVESTMENT BOARD | History | Reduced | 18,644 | 460 | 0.0% | 0.0% | 61 | -5,971 | -24.26% | Q1 2026 | May 15, 2026 |
| HighTower Advisors, LLC | History | New | 18,423 | 454 | 0.0% | — | 62 | +18,423 | New | Q1 2026 | May 05, 2026 |
| PRICE T ROWE ASSOCIATES INC /MD/ | History | Added to | 17,652 | 436 | 0.0% | 0.0% | 63 | +2,283 | 14.85% | Q1 2026 | May 15, 2026 |
| CHICAGO TRUST Co NA | History | No change | 16,700 | 412 | 0.07% | 0.04% | 64 | 0 | 0.0% | Q1 2026 | Apr 24, 2026 |
| MetLife Investment Management, LLC | History | No change | 15,537 | 383 | 0.0% | 0.0% | 65 | 0 | 0.0% | Q1 2026 | May 14, 2026 |
| MILLENNIUM MANAGEMENT LLC | History | Reduced | 14,939 | 368 | 0.0% | 0.0% | 66 | -64,392 | -81.17% | Q1 2026 | May 15, 2026 |
| PDT Partners, LLC | History | No change | 14,891 | 367 | 0.02% | 0.02% | 67 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| BANK OF NOVA SCOTIA | History | New | 15,000 | 365 | 0.0% | — | 68 | +15,000 | New | Q1 2026 | May 14, 2026 |
| Voleon Capital Management LP | History | Reduced | 13,290 | 327 | 0.01% | 0.01% | 69 | -2,292 | -14.71% | Q1 2026 | May 15, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | No change | 12,250 | 302 | 0.0% | 0.0% | 70 | 0 | 0.0% | Q1 2026 | May 14, 2026 |
| Aquatic Capital Management LLC | History | Reduced | 12,061 | 297 | 0.01% | 0.01% | 72 | -10,741 | -47.11% | Q1 2026 | May 15, 2026 |
| MIRAE ASSET GLOBAL ETFS HOLDINGS Ltd. | History | Added to | 12,038 | 297 | 0.0% | 0.0% | 71 | +174 | 1.47% | Q1 2026 | May 15, 2026 |
| AMERICAN CENTURY COMPANIES INC | History | New | 11,926 | 294 | 0.0% | — | 73 | +11,926 | New | Q1 2026 | May 15, 2026 |
| Quantum Private Wealth, LLC | History | No change | 11,500 | 283 | 0.09% | 0.06% | 74 | 0 | 0.0% | Q1 2026 | Apr 27, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | Reduced | 10,739 | 265 | 0.0% | 0.0% | 75 | -205 | -1.87% | Q1 2026 | May 04, 2026 |
| LOS ANGELES CAPITAL MANAGEMENT LLC | History | Reduced | 10,269 | 253 | 0.0% | 0.0% | 76 | -4,362 | -29.81% | Q1 2026 | May 08, 2026 |
| TWO SIGMA ADVISERS, LP | History | No change | 14,700 | 248 | 0.0% | 0.0% | 77 | 0 | 0.0% | Q4 2025 | Feb 17, 2026 |
| WELLS FARGO & COMPANY/MN | History | Reduced | 9,559 | 235 | 0.0% | 0.0% | 78 | -18,734 | -66.21% | Q1 2026 | Jul 08, 2026 |
| State of Wyoming | History | Added to | 9,498 | 234 | 0.03% | 0.02% | 79 | +1,337 | 16.38% | Q1 2026 | May 13, 2026 |
| Vanguard Global Advisers, LLC | History | New | 8,991 | 221 | 0.0% | — | 80 | +8,991 | New | Q1 2026 | May 08, 2026 |
| Granite Investment Partners, LLC | History | New | 8,479 | 209 | 0.01% | — | 81 | +8,479 | New | Q1 2026 | Apr 30, 2026 |
| Jain Global LLC | History | New | 8,287 | 204 | 0.0% | — | 82 | +8,287 | New | Q1 2026 | May 15, 2026 |
| NEW YORK STATE COMMON RETIREMENT FUND | History | No change | 8,100 | 199 | 0.0% | 0.0% | 83 | 0 | 0.0% | Q1 2026 | May 06, 2026 |
| Quantbot Technologies LP | History | Reduced | 7,787 | 192 | 0.01% | 0.01% | 84 | -1,570 | -16.78% | Q1 2026 | May 13, 2026 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | Reduced | 7,500 | 185 | 0.0% | 0.0% | 85 | -2,500 | -25.0% | Q1 2026 | May 07, 2026 |
| Police & Firemen's Retirement System of New Jersey | History | No change | 7,209 | 177 | 0.0% | 0.0% | 86 | 0 | 0.0% | Q1 2026 | Apr 29, 2026 |
| State of Alaska, Department of Revenue | History | No change | 6,943 | 171 | 0.0% | 0.0% | 87 | 0 | 0.0% | Q1 2026 | Apr 20, 2026 |
| China Universal Asset Management Co., Ltd. | History | Added to | 4,759 | 117 | 0.01% | 0.01% | 88 | +389 | 8.9% | Q1 2026 | Apr 27, 2026 |
| AlphaQuest LLC | History | No change | 4,149 | 70 | 0.0% | 0.0% | 89 | 0 | 0.0% | Q4 2025 | Feb 09, 2026 |
| Russell Investments Group, Ltd. | History | Reduced | 2,670 | 65 | 0.0% | 0.0% | 90 | -47,024 | -94.63% | Q1 2026 | May 08, 2026 |
| CITIGROUP INC | History | Added to | 2,548 | 62 | 0.0% | 0.0% | 91 | +1,097 | 75.6% | Q1 2026 | May 11, 2026 |
| Legal & General Group Plc | History | Reduced | 2,330 | 57 | 0.0% | 0.0% | 92 | -401 | -14.68% | Q1 2026 | May 08, 2026 |
| Ameritas Investment Partners, Inc. | History | No change | 2,167 | 53 | 0.0% | 0.0% | 93 | 0 | 0.0% | Q1 2026 | May 13, 2026 |
| FMR LLC | History | Reduced | 1,519 | 37 | 0.0% | 0.0% | 94 | -1,557 | -50.62% | Q1 2026 | May 15, 2026 |
| CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM | History | Reduced | 1,388 | 34 | 0.0% | 0.0% | 95 | -190 | -12.04% | Q1 2026 | May 15, 2026 |
| Mirae Asset Global Investments Co., Ltd. | History | Added to | 1,399 | 34 | 0.0% | 0.0% | 96 | +96 | 7.37% | Q1 2026 | May 04, 2026 |
| Truvestments Capital LLC | History | No change | 1,183 | 29 | 0.01% | 0.0% | 97 | 0 | 0.0% | Q1 2026 | May 13, 2026 |
| Tower Research Capital LLC (TRC) | History | Reduced | 1,156 | 28 | 0.0% | 0.0% | 98 | -1,838 | -61.39% | Q1 2026 | May 15, 2026 |
| GF FUND MANAGEMENT CO. LTD. | History | Added to | 597 | 14 | 0.0% | 0.0% | 99 | +70 | 13.28% | Q1 2026 | Apr 15, 2026 |
| UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC | History | New | 368 | 9 | 0.0% | — | 100 | +368 | New | Q1 2026 | May 13, 2026 |
| JONES FINANCIAL COMPANIES LLLP | History | Added to | 350 | 8 | 0.0% | 0.0% | 101 | +129 | 58.37% | Q1 2026 | May 15, 2026 |
| Parallel Advisors, LLC | History | New | 303 | 7 | 0.0% | — | 102 | +303 | New | Q1 2026 | Jun 02, 2026 |
| SBI Securities Co., Ltd. | History | Added to | 263 | 6 | 0.0% | — | 103 | +253 | 2530.0% | Q1 2026 | Apr 27, 2026 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | Added to | 179 | 4 | 0.0% | — | 104 | +128 | 250.98% | Q1 2026 | May 08, 2026 |
| Sterling Capital Management LLC | History | No change | 167 | 4 | 0.0% | 0.0% | 105 | 0 | 0.0% | Q1 2026 | Apr 22, 2026 |
| OSAIC HOLDINGS, INC. | History | No change | 200 | 4 | 0.0% | 0.0% | 106 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| Farther Finance Advisors, LLC | History | Reduced | 123 | 3 | 0.0% | 0.0% | 107 | -23 | -15.75% | Q1 2026 | Apr 07, 2026 |
| CWM, LLC | History | Added to | 107 | 2 | 0.0% | — | 108 | +81 | 311.54% | Q1 2026 | May 14, 2026 |
| Advisory Services Network, LLC | History | New | 50 | 1 | 0.0% | — | 109 | +50 | New | Q1 2026 | May 15, 2026 |
| Investors Portfolio Services LLC | History | New | 34 | 1 | 0.0% | — | 111 | +34 | New | Q1 2026 | May 14, 2026 |
| Covestor Ltd | History | New | 28 | 1 | 0.0% | — | 110 | +28 | New | Q1 2026 | May 05, 2026 |
| Jefferies Financial Group Inc. | History | Closed out | 0 | 0 | — | 0.01% | — | -118,300 | -100.0% | Q1 2026 | May 07, 2026 |
| BRIDGEWAY CAPITAL MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.03% | — | -84,020 | -100.0% | Q1 2026 | May 15, 2026 |
| D. E. Shaw & Co., Inc. | History | Closed out | 0 | 0 | — | 0.0% | — | -15,331 | -100.0% | Q1 2026 | May 15, 2026 |
| Squarepoint Ops LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -13,482 | -100.0% | Q1 2026 | May 15, 2026 |
| Point72 Asset Management, L.P. | History | Closed out | 0 | 0 | — | 0.0% | — | -12,925 | -100.0% | Q1 2026 | May 15, 2026 |
| CANADA PENSION PLAN INVESTMENT BOARD | History | Closed out | 0 | 0 | — | 0.0% | — | -12,500 | -100.0% | Q1 2026 | May 15, 2026 |
| INTECH INVESTMENT MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -12,421 | -100.0% | Q1 2026 | May 08, 2026 |
| Jump Financial, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -10,551 | -100.0% | Q1 2026 | May 14, 2026 |
| Man Group plc | History | Closed out | 0 | 0 | — | 0.0% | — | -10,473 | -100.0% | Q1 2026 | May 15, 2026 |
| SG Americas Securities, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -6,471 | -100.0% | Q1 2026 | Apr 16, 2026 |
| Caitong International Asset Management Co., Ltd | History | Reduced | 24 | 0 | — | 0.02% | — | -5,854 | -99.59% | Q1 2026 | May 11, 2026 |
| ROYAL BANK OF CANADA | History | Reduced | 13 | 0 | — | 0.0% | — | -1,005 | -98.72% | Q1 2026 | May 15, 2026 |
| AMALGAMATED BANK | History | Closed out | 0 | 0 | — | 0.0% | — | -805 | -100.0% | Q1 2026 | May 08, 2026 |
| GROUP ONE TRADING LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -500 | -100.0% | Q1 2026 | May 13, 2026 |
| Vermillion & White Wealth Management Group, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -150 | -100.0% | Q1 2026 | May 15, 2026 |
| Daiwa Securities Group Inc. | History | Closed out | 0 | 0 | — | 0.0% | — | -89 | -100.0% | Q1 2026 | May 13, 2026 |
| EverSource Wealth Advisors, LLC | History | New | 38 | 0 | — | — | — | +38 | New | Q1 2026 | May 15, 2026 |
| TWIN PEAKS WEALTH ADVISORS, LLC | History | New | 38 | 0 | — | — | — | +38 | New | Q1 2026 | May 08, 2026 |
| US BANCORP \DE\ | History | Reduced | 19 | 0 | — | — | — | -35 | -64.81% | Q1 2026 | May 14, 2026 |
| Hughes Financial Services, LLC | History | Added to | 26 | 0 | — | — | — | +25 | 2500.0% | Q1 2026 | Apr 29, 2026 |
| Allworth Financial LP | History | Closed out | 0 | 0 | — | — | — | -7 | -100.0% | Q1 2026 | May 14, 2026 |
| GAMMA Investing LLC | History | Reduced | 21 | 0 | — | — | — | -2 | -8.7% | Q1 2026 | Apr 06, 2026 |
| Keating Financial Advisory Services, Inc. | History | New | 1 | 0 | — | — | — | +1 | New | Q1 2026 | May 15, 2026 |