| CORNERSTONE MANAGEMENT, INC. | Mar 31 |
| CVC-PE Global Private Equity Fund, LP | Dec 31 |
| DELTA CLEARING CORP /DE/ | Dec 31 |
| DIAMOND HILL INVESTMENT GROUP INC | Dec 31 |
| DUNDEE CORP | Dec 31 |
| Dynasty Financial Partners Inc. | Dec 31 |
| EPOCH HOLDING CORP | Jun 30 |
| EQT Private Equity Co LLC | Dec 31 |
| FEDERATED INVESTORS /DE | Dec 31 |
| Fifth Street Asset Management Inc. | Dec 31 |
| Financial Engines, LLC | Dec 31 |
| Focus Financial Partners Inc. | Dec 31 |
| FORESTER SAMUEL J JR | Sep 30 |
| Fortress Investment Group LLC | Dec 31 |
| FORTUNATO S JOSEPH | Sep 30 |
| FRMO CORP | Feb 28 |
| GALBRAITH JOHN W | Sep 30 |
| G-INFRA LP | Dec 31 |
| Gladstone Companies, Inc. | Jun 30 |
| Gladstone Companies, Ltd. | Dec 31 |
| GlassBridge Enterprises, Inc. | Dec 31 |
| GLG Partners, Inc. | Dec 31 |
| GLOBAL DECISIONS GROUP LLC | Jun 30 |
| GOSS DAVID P | Sep 30 |
| G-Private Equity LP | Dec 31 |
| GREEN BARBARA J | Sep 30 |
| GUNDAKER/JORDAN AMERICAN HOLDINGS INC | Dec 31 |
| HarbourVest Private Equity Secondaries Fund L.P. | Mar 31 |
| HarbourVest Private Equity Secondaries Fund (TE) L.P. | Mar 31 |
| HIGHBURY FINANCIAL INC | Dec 31 |
| HINES ANDREW H JR | Sep 30 |
| HOLOWESKO MARK G | Sep 30 |
| Institute for Wealth Holdings, Inc. | Dec 31 |
| Interactive Data Holdings Corp | |
| INTREPID CAPITAL CORP | Dec 31 |
| Invesco Advisers, Inc. | |
| Invesco Aim Advisors, Inc. | |
| Invesco Management Group, Inc. | Dec 31 |
| INVESTORS FINANCIAL SERVICES CORP | Dec 31 |
| JAMIESON EDWARD B | Sep 30 |
| JANUS CAPITAL GROUP INC | Dec 31 |
| Janus Henderson Group Ltd. | Jun 30 |
| Jupai Holdings Ltd | Dec 31 |
| KENNY THOMAS J | Sep 30 |
| KEYSTONE INVESTMENT MANAGEMENT CO | Dec 31 |
| KEYSTONE INVESTMENTS INC | Dec 31 |
| KingsCrowd, Inc. | Dec 31 |
| KKR Group Partnership L.P. | Dec 31 |
| KNOBIAS, INC. | Dec 31 |
| Lazard Group LLC | Dec 31 |
| LEGG MASON, INC. | Mar 31 |
| Legion Capital Corp | Dec 31 |
| LIM DENNIS | Sep 30 |
| LUFKIN CHAUNCEY F | Sep 30 |
| MACKENZIE FINANCIAL CORP | Dec 31 |
| MACKLIN GORDON S | Sep 30 |
| Macquarie Energy Transition Infrastructure Fund, L.P. | Mar 31 |
| Macquarie Infrastructure Fund, L.P. | Mar 31 |
| Manning & Napier, Inc. | Dec 31 |
| MCGOWAN GREGORY E | Sep 30 |
| MCVEY EDWARD V | Sep 30 |
| Medley LLC | Dec 31 |
| MEDLEY MANAGEMENT INC. | Dec 31 |
| MILLSAPS FRED R | Sep 30 |
| Mirror Merger Sub 2, LLC | Oct 31 |
| MOBIUS J MARK | Sep 30 |
| MOLUMPHY CHRIS | Sep 30 |
| MONASTERIO KIMBERLY | Sep 30 |
| MONITREND INVESTMENT MANAGEMENT INC | Dec 31 |
| National Investment Managers Inc. | Dec 31 |
| NEUBERGER BERMAN INC | Dec 31 |
| NEW ENGLAND INVESTMENT COMPANIES L P /MA/ | Dec 31 |
| NOMURA ASSET MANAGEMENT INTERNATIONAL INC. | Mar 31 |
| NUVEEN INVESTMENTS, INC | Dec 31 |
| NVEST LP | Dec 31 |
| PIMCO Asset-Based Lending Co LLC | Dec 31 |
| Pinnacle Summer Investments, Inc. | Dec 31 |
| PMC INTERNATIONAL INC | Dec 31 |
| PREMIER WEALTH MANAGEMENT, INC. | Dec 31 |
| PROFICIENT ALPHA ACQUISITION CORP | Sep 30 |
| Puhui Wealth Investment Management Co., Ltd. | Jun 30 |
| Pzena Investment Management, Inc. | Dec 31 |
| RESOURCE ASSET MANAGEMENT CORP | Sep 30 |
| ROSENBERG BRUCE S | Sep 30 |
| SAGIENT RESEARCH SYSTEMS, INC. | Dec 31 |
| SAN VICENTE GROUP INC | Sep 30 |
| Sculptor Capital Management, Inc. | Dec 31 |
| SIMPSON MURRAY | Sep 30 |
| Skajaquoda Group inc. | Dec 31 |
| Stonepeak-Plus Infrastructure Fund LP | Dec 31 |
| TAILWIND FINANCIAL INC. | Jun 30 |
| TEMPLETON ASSET MANAGEMENT LTD | Sep 30 |
| Teton Advisors, Inc. | Dec 31 |
| Titanium Asset Management Corp | Dec 31 |
| Turner Investments, Inc. | Dec 31 |
| UNSI CORP | Jun 30 |
| VAN KAMPEN AMERICAN CAPITAL INC | Dec 31 |
| VistaOne, L.P. | Dec 31 |
| VK AC HOLDINGS INC | Dec 31 |
| WALL STREET STRATEGIES CORP | Dec 31 |