| Line | Entity Registrant Name | SIC | SIC Description | Sector | Activity | FAC Nonconforming Items | SEC Filing Page |
|---|---|---|---|---|---|---|---|
| 1 | ALLIANCEBERNSTEIN L.P. | 6282 | INVESTMENT ADVICE | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 2 | Artisan Partners Asset Management Inc. | 6282 | INVESTMENT ADVICE | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 4 | SEC Filing Page |
| 3 | BlackRock Inc. | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 1 | SEC Filing Page |
| 4 | DIAMOND HILL INVESTMENT GROUP INC | 6282 | INVESTMENT ADVICE | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 5 | Franklin Resources Inc | 6282 | INVESTMENT ADVICE | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 2 | SEC Filing Page |
| 6 | GAMCO INVESTORS, INC. ET AL | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 7 | Lazard Group LLC | 6282 | INVESTMENT ADVICE | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 8 | LAZARD LTD | 6282 | INVESTMENT ADVICE | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 9 | MAN AHL DIVERSIFIED I LP | 6221 | COMMODITY CONTRACTS BROKERS AND DEALERS | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 10 | Merriman Holdings, Inc | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 11 | PRICE T ROWE GROUP INC | 6200 | SECURITY AND COMMODITY BROKERS, DEALERS, EXCHANGES AND SERVICES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 12 | PZENA INVESTMENT MANAGEMENT, INC. | 6282 | INVESTMENT ADVICE | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 13 | TD AMERITRADE HOLDING CORP | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 14 | VIRTUS INVESTMENT PARTNERS, INC. | 6282 | INVESTMENT ADVICE | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 2 | SEC Filing Page |
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