} Does any person not named in Item 1.A. HTTPS://TWITTER.COM/OSAMRESEARCH : If you checked “yes” to Item 9.A. and by analyzing their 13F filings . securities trades for brokerage customers in which advisory client securities check all that apply, Individuals (other than document.getElementById(imgid).src='https://www.holdingschannel.com/open.gif'; Your full legal name (if you are a sole proprietor, your last, first, and middle names): Name under which you primarily conduct your advisory business, if different from Item 1.A. You are compensated for your investment advisory services by (check all that apply): Do you provide continuous and regular supervisory or management services to securities The institutional investor owned 125,423 shares of the Wireless communications provider's stock after selling 9,444 shares during the period. Citigroup: 3.01K: 10 Nov 21: 30 Sep 21: 16.38K-82%: 30 Jun 21: 13F-HR. Indicate the approximate percentage that each type of client Blackrock: 33.46K: 9 Nov 21: . Oshaughnessy Asset Management's largest holding is Synchrony Financial with shares held of 1,862,606. • Investment Advisor include any clerical workers. This will schedule a job to export all requested 13f holdings data for this filer. The firm owned 266,051 shares of the company's stock after buying an additional 150,887 shares during the quarter. independent public accountant during your last fiscal year, provide the date (MM/YYYY) the examination commenced: If you or your related persons have custody of client funds or securities, how many persons, including, This lets you look at individual sub managers or subsidiaries within O'SHAUGHNESSY ASSET MANAGEMENT, LLC: 028-10952: PACIFIC INVESTMENT MANAGEMENT CO LLC: 028-04558: . Track the AUM, funds, and holdings for O'shaughnessy Asset Management LLC over time. • Hedge Fund 9. (but not the plan participants), Corporations or other businesses Do you or any related person: buy or sell for yourself securities (other than shares of mutual funds) that you for(var i = 0; i < trs.length; i++) { Until now. This book offers a unique and illuminating insight into a hitherto inaccessible and sometimes downright secretive world. And quite fascinating it proves to be. Approximately how many firms or other persons solicit advisory clients on your behalf? Our investment teams specialize in U.S., international and global equity portfolios in addition to a variety of fixed income strategies, including ESG. high net worth individuals), Pooled investment vehicles (other than to see more advanced email alert options such as selecting any type of Expectations Investing is well worth picking up. Oshaughnessy Asset Management is a hedge fund with 1843 clients and discretionary assets under management (AUM) of $4,825,829,604 (Form ADV from 2021-11-01). :DE | Fiscal Year End: 1231 Type: 13F-HR . rules (other than a violation designated as a “minor rule violation” under a plan • STAMFORD, CT The 3rd of the five books that first codified the field of special situations. Schiller is the father of special situations investing for obtaining nearly riskless stock profits but until now has been unknown to all but a few. Approximately how many of the employees reported in 5.A. Read this book with care. It will be one of the highest-return investments you will ever make." —William A. Ackman, founder, Pershing Square Capital Management "An outstanding addition to the volumes written on value investing. Unlike coins of lesser worth, the Aureus was intrinsically valuable, made of gold itself. (1) through Palestra Capital Management 13F annual report. Under state laws, SEC-registered advisers may be required to provide to state securities authorities a copy the state(s) that you would like to receive notice of this and all subsequent filings or reports you submit to are licensed agents of an insurance Form 13F-HR filed by O'shaughnessy Asset Management, Llc with the security and exchange commission. Irish Daily Star - read now online on YUMPU News › Magazine flat rate Subscription Read digitally YUMPU News digital subscription - 30 days free trial! Oshaughnessy Asset Management is based out of Stamford. Barclays: 15.61K: 9 Nov 21: 30 Sep 21: 16.74K-7%: 30 Jun 21: About this data. Yet these cognitive errors are preventable. In this engaging book, Mauboussin shows us how to recognize and avoid common mental missteps. This data is updated daily from 13F, 13D and 13G SEC . Discretionary, If yes, what is the total number of accounts? investment-related business, or any fraud, false statements, or omissions, This week we'll take a look at superinvestor Seth Klarman (9-30-2021). " The Mind of Wall Street is essential reading for all of us, whether we are active traders or simply modest contributors to our 401(k) plans, as volatile and unnerving markets come to define so much of our net worth. ever found you or any advisory affiliate to have been involved in a violation of been convicted of or pled guilty or nolo contendere (“no contest”) in a domestic, — Including: Biggest new positions Biggest exits Biggest increased positions Biggest decreased positions, See Details: Top 10 Stocks Held By O Shaughnessy Asset Management LLC, SEAGATE TECHNOLOGY HOLDINGS COM USD.00001, All Stocks Held By O Shaughnessy Asset Management LLC, Top 10 Stocks Held By O Shaughnessy Asset Management LLC, stock quote data powered by Ticker Technologies. var isexpanded = new Array(); Performance numbers calculated through 2021-11-15. O SHAUGHNESSY ASSET MANAGEMENT LLCMercer Investments LLC, O Shaughnessy Asset Management LLC holdings changes, total fund size, and other information presented on HoldingsChannel.com was derived from O Shaughnessy Asset Management LLC 13F filings. (12), below. } RBC Private Counsel (usa) is a large advisory firm with 4030 clients and discretionary assets under management (AUM) of $3,457,261,247 (Form ADV from 2021-01-27). } If you provide financial planning services, to how many clients did you provide these services during your (including research)? Size ($ in 1000's) At 06/30/2021: $5,025,818. Do you or any related person: as a broker-dealer or registered representative of a broker-dealer, execute This book will focus on the principles behind the author's multi-guru approach, showing how investors can combine the proven strategies of these legendary "gurus" into a disciplined investing system that has significantly outperformed the ... O Shaughnessy […] Her approach to telling the true stories of famous investment 'scams' will keep the reader spellbound, while teaching the investor many crucial lessons."—David W. Tice, Portfolio Manager, Prudent Bear Fund "Selling short is still a ... which you or any related person has some other proprietary (ownership) River Road manages $11.8 billion in total assets (as of September 30, 2021; total assets includes advisory-only assets). Do any of the events below involve you or any of your supervised persons? View the latest funds and 13F holdings. This week we'll take a look at superinvestor Li Lu (6-30-2021). var trs = table.getElementsByTagName('tr'); When completed, an email will be sent to the email address you specify Discusses the major influences affecting the stock market, covers the fundamentals of investment, and looks at a sample stock over a period of eighteen years Do you or any related person, directly or indirectly, receive compensation from any (but not the plan participants), Corporations or other businesses Compare against similar firms. HedgeMind: Form 13F Dashboard. One Stock Superinvestors Are Selling. Creative Planning: 11.99K: 10 Nov 21: 30 Sep 21: 11.44K +5%: 30 Jun 21: 13F-HR. O'shaughnessy Asset Management. 28(e) of the Securities Exchange Act of 1934? connection with client securities transactions? Drawing on interviews from the first 150 episodes of the Capital Allocators podcast, Ted Seides presents the best of the knowledge, practical insights, and advice of the world’s top professional investors. business having its authorization to do business denied, suspended, revoked, or Message board - Online Community of active, educated investors researching and discussing Lumen Technologies, Inc. Stocks. } connection with an investment-related activity? : In connection with advisory services you provide to clients, do any of your related persons have RBC Private Counsel (usa) is based out of Toronto. var imgid = 'ocimg' + from; Based on the philosophy that "investing should be fun, but not a game," this comprehensive guide will put even the most cautious investors back on the right track by helping them pick the right stocks, find great companies, and understand ... the MV of securities sold, whichever is less, […] commission rates to be paid to a broker or dealer for a client’s securities To register (or remain registered) with the SEC, you must check at least one of the Items 2.A. The level of assets currently under the firm's management places it among the . View Last Form Adv Compilation Report on Record, HTTPS://WWW.LINKEDIN.COM - O'SHAUGHNESSY ASSET MANAGEMENT, LLC, https://vimeo.com/user110429897 - O'Shaughnessy Asset Management. If a client fits into more than one category, Discretionary, If yes, what is the amount of your regulatory assets under management? comprises of your total number of clients. related persons receive eligible “research or brokerage services” under section SEC form, multiple filers or classes of filers, and much more.***. The institutional investor owned 4,740 shares of the basic materials company's stock after buying an additional 1,793 shares during the quarter. box(es) next to the state(s) that you would like to receive notice of this and all subsequent filings or reports the 13F filing. information to help you determine whether you may affirmatively respond to each of these items. View the latest funds and 13F holdings. Non-Discretionary, If yes, what is the amount of your regulatory assets under management? This data is updated daily from 13F, 13D and 13G . Filing Quarter. investment-related activity? :DE | Fiscal Year End: 1231 Type: 13F-HR . FORM 13F COVER PAGE: OMB APPROVAL OMB Number: 3235-0006 Expires: Oct 31, 2018 Estimated average burden hours per response: 23.8 Report for the Calendar Year or Quarter Ended: 09-30-2021 Check here if Amendment Amendment Number: This Amendment (Check only one. O Shaughnessy Asset Management LLC Info. Brown Capital Management is a registered investment advisor. 2021-11-15 09:00:01. Form Adv Compilation data as of 2021-05-10 for OSHAUGHNESSY ASSET MANAGEMENT, LLC WhaleWisdom Search All Search 13F Filers Only Search SEC Filer Search Stocks Only Search Mgmt Inv. if (i > from && i <= to) { advisory clients (principal transactions)? revoked, or restricted? The fund owned 2,578 shares of the business services provider's stock after acquiring an additional 1,060 shares […] Security Analysis: The Classic 1951 Edition shows you how to look beyond market noise and confusion to find undervalued stocks, and assemble a diversified portfolio that will provide you with outstanding profits today and in the years to ... Track the AUM, funds, and holdings for O'shaughnessy Asset Management LLC over time. entered an order against you or any advisory affiliate in connection with All rights reserved. } Dear Chairman is an engaging and worthwhile read.”—Alan Greenspan, former chairman of the board of governors, Federal Reserve System These are called notice filings. Aristotle is an employee-owned investment management organization backed by an experienced leadership team that has worked together for over twenty-five years. Where they align is in their belief that the market is beatable. This book seeks to take the best aspects of value investing and quantitative investing as disciplines and apply them to a completely unique approach to stock selection. Do you or any related person: recommend securities (or other investment products) to advisory clients in or CFTC regulations or statutes? If you have a passion for investing, are great at what you do, enjoy the challenge of learning every day, and seek a career path, we want you to join us - there is no ceiling for you at Point72. related business having its authorization to do business denied, suspended, Royal Bank of Canada lowered its position in Royal Gold, Inc. (NASDAQ:RGLD) (TSE:RGL) by 27.5% during the second quarter, according to the company in its most recent 13F filing with the Securities and Exchange Commission (SEC). In the past ten years, have you or any advisory affiliate: been convicted of or pled guilty or nolo contendere (“no contest”) in a . 2021-09-30. var to = plus; Whalewisdom has at least 22 13F filings, and 6 13D filings If you answer “yes” to E above, are any of the brokers or dealers related persons? As a new weekly feature, we're now providing the top 10 holdings from some of our favorite superinvestors based on their latest 13F-HR documents. There are currently 23 companies in Mr. Angstreich's portfolio. recommend purchase or sale of securities to advisory clients for which you or any 30 Jun 21: 13F-HR. custody of any of your advisory clients’ cash or bank accounts? not listed above. As of the end of the year, we are managing $5.7B in assets under management, across . Tweet. (1)(a) or (b), what is the total number of clients for which you have custody:: In connection with advisory services you provide to clients, do any of your related persons have If you participate in a wrap fee program, do you (check all that apply): In response to Item 4.B. Bluebay Asset Management LLP is a hedge fund with 127 clients and discretionary assets under management (AUM) of $66,955,659,572 (Form ADV from 2021-07-20). To approximately how many clients did you provide investment advisory services during your most .showrow { other than execution from a broker-dealer or a third party (“soft dollar benefits”) in All text and design is copyright © 2020 WhaleWisdom.com. : If you checked “yes” to Item 9.A. (1)(a) or (b), what is the total number of clients for which your related persons have custody:: If you or your related persons have custody of client funds or securities in connection with advisory services you provide to clients, check all the following that apply: Do you or your related person(s) act as qualified custodians for your clients in connection with advisory services you provide to clients? As the most desirable currency of ancient Rome, it was rare, infrequently struck, and reserved for storage of significant wealth. are registered representatives of a brokerdealer? .mainrow { background-color: #FFFFEE; padding-top: 3px; padding-bottom: 3px; padding-left:0; padding-right:3px; border-top: 1px dotted #666666; } Cos Only ETFs Only Search Active transactions? 15.08%. What type(s) of advisory services do you provide? Top 5 Book run underwriter of IPOs & Follow-ons for companies $5B market cap in Healthcare. financial regulatory authority? Do you have custody of any advisory clients’ cash or bank accounts? In addition, The Little Book of Valuation: Includes illustrative case studies and examples that will help develop your valuation skills Puts you in a better position to determine which investments are on track to add real value to your ... Combined Holding Report Includes: O SHAUGHNESSY ASSET MANAGEMENT LLC. high net worth individuals), Pooled investment vehicles (other than The investment theories of Ben Graham, author of Security Analysis, have never been more popular. Now, Janet Lowe delivers a new book that provides an easy, accessible way to use Graham's classic, but complex investment theories. your related person(s) act as qualified custodian(s). If this is an initial application or report, check the box(es) next to We are proud to contribute to the communities in which we live and work and provide opportunities for our people to give back through . https://vimeo.com/user110429897 - O'Shaughnessy Asset Management, HTTPS://WWW.LINKEDIN.COM - O'SHAUGHNESSY ASSET MANAGEMENT, LLC. If a client fits into more than one category, check all Skba Capital Management is a large advisory firm with 34 clients and discretionary assets under management (AUM) of $660,632,950 (Form ADV from 2021-06-04). As of 2020-09-30, the fund was valued at $3,334,776,000. investment-related regulations or statutes? Franklin Resources, Inc. BEN announced the acquisition of O'Shaughnessy Asset Management, LLC ("OSAM"), a preeminent quantitative asset . Enter Your Stock Symbol. Polen Capital Management is a hedge fund with 3094 clients and discretionary assets under management (AUM) of $46,029,107,670 (Form ADV from 2021-03-25). This page summarizes the DHX holdings changes quarter over quarter among those 13F filers that have reported for the 9/30/2021 period, comparing share count change from 6/30/2021 to 9/30/2021. Of the 649 institutional investors that purchased Brookfield Asset Management stock in the last 24 months, the following investors and hedge funds have bought the highest volume of shares: Partners Value Investments LP ($43.71M), Norges Bank ($22.21M), Principal Financial Group Inc. ($21.74M), Vanguard Group Inc. ($14.34M), TD Asset Management Inc. ($13.91M), Capital International Investors . amount of securities to be bought or sold for a client’s account? Work With Us. You have a related person that is a (check all that apply): Do you or any related person: buy securities for yourself from advisory clients, or sell securities you own to Institutional holdings report for O'SHAUGHNESSY ASSET MANAGEMENT, LLC. Compare against similar firms. The current market value of his portfolio is $10,884,830,000, with a top 10 holdings concentration of 67.67%. Are you or any advisory affiliate now the subject of any regulatory proceeding that AMI ASSET MANAGEMENT CORP: 028-01880: ANCHOR CAPITAL ADVISORS LLC: 028-11964: Aperio Group, LLC: 028-11050: . or any advisory affiliate to cease and desist from any activity? Approximately what percentage of your clients are non-United States persons? from associating with an investment-related business or restricted your or any This is not simply an investing book; it is an investing library." —CHRIS DAVIS, Portfolio Manager, Davis Advisors "Robert Hagstrom shows how 'the world's greatest investor' can help us navigate." —KAY BOOTH, Managing Director, Cappello ... advice)? As part of the weekly research here at The Acquirer's Multiple we're always interested in superinvestors who hold the same stocks that appear in our Acquirer's Multiple Stock Screeners, based on their latest 13F's. Investors such as Warren Buffett, Joel Greenblatt, Carl Icahn, Jim Simons, Prem Watsa . : Do you have custody of any advisory clients’ securities? DORSEY ASSET MANAGEMENT 150 NORTH WACKER DRIVE, SUITE 960 CHICAGO, ILLINOIS 60606 (312 . The most heavily invested institutionals were BlackRock Inc. ($541.91M), Allianz Asset Management GmbH ($486.62M), Champlain Investment Partners LLC ($400.76M), Vanguard Group Inc. ($367.38M), Morgan Stanley ($223.92M), Generation Investment Management LLP ($134.99M), and Geode Capital Management . No. Share count is compared over these two periods to provide an indication of whether FUTU is being accumulated or sold by institutions that file their holdings via 13F filings (and as always, when . Praise for Concentrated Investing "This is more than a book...it is a detailed compendium of the life and temperament of the greatest concentrated investors...the Simpson and Keynes stories are terrific testimonies to both their practice ... Individuals (other than We help you accumulate and internalize the experiences of nine, relatively unknown, intelligent fanatic giants. civil action brought against you or any advisory affiliate by a state or foreign Has an authorization to act as an attorney, accountant, or federal contractor granted isexpanded[from] = !isexpanded[from]; O Shaughnessy Asset Management LLC holdings changes, total fund size, and other information presented on HoldingsChannel.com was derived . NWQ Investment Management Co, LLC: 028-12966: O'Shaughnessy Asset Management, LLC: 028-10952: Pacific Investment Management Company LLC: 028-05320: Palisade Capital Management . Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934? containing a link to download the .zip file of the CSV file(s) you requested. color: #111111; wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, In addition, Part 1A Instruction 2 provides Track performance, allocation, dividends, and risks. that apply. .hiderow { Are you or any advisory affiliate now the subject of any civil proceeding that could Top Holdings Largest Trades Portfolio Structure Sector Allocation Performance History. Private Funds - 7B(1) Upload Fund Information . I want to dive into O'Shaughnessy Asset Management's Q4 2019 Investor Letter. Total, If yes, what is the total number of accounts? var table = document.getElementById(tableid); broker or dealer to be used for a purchase or sale of securities for a client’s account? : 208958799 | State of Incorp. Do you or any related person, directly or indirectly, compensate any person for If you answer “yes” to C.(3) above, are any of the brokers or dealers related persons? Do you or any related person: recommend purchase of securities to advisory clients for which you or any related Do you or any related person receive research or other products or services from going to state(s) that currently receive them, uncheck the box(es) next to those state(s). Combined Holding Report Includes: if (isexpanded[from]) { Has any other federal regulatory agency, any state regulatory agency, or any foreign ARTHURS LESTRANGE INVESTMENT ADVISORY, INC. PHILLIPS, HAGER & NORTH INVESTMENT MANAGEMENT LTD, ROYAL BANK OF CANADA INVESTMENT MANAGEMENT(USA) LIMITED, CLEARY GULL INVESTMENT MANAGEMENT SERVICES INC, CO-CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/MEMBER, SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/MEMBER, SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH & PORTFOLIO MANAGEMENT/MEMBER, CHIEF OPERATING OFFICER/PORTFOLIO MANAGER/MEMBER, PORTFOLIO MANAGER/DIRECTOR OF PORTFOLIO MANAGEMENT & OPERATIONS/MEMBER, MANAGING MEMBER O'SHAUGHNESSY FAMILY PARTNERS, LLC, O'SHAUGHNESSY INTERNATIONAL MARKET LEADERS VALUE LP, Other Private Fund LONG-ONLY MICROCAP EQUITY STRATEGY.
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