ADVISORY RESEARCH INC
CRD #108254 SEC #801-14172 CHICAGO, IL 312-565-1414
SEC Registered Private Funds
Total AUM
$721.5M
Discretionary
$718.8M
Employees
14
Clients
--
Accounts
293
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Nov 18, 2025
- Branch Offices
- 0
- LEI
- 5493002KJ2LLK14DRK71
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BAEG, GINA | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| BAEG, GINA | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| CALBY, HEATHER, L. | I | CHIEF FINANCIAL OFFICER | NA | |
| CALBY, HEATHER, L. | I | CHIEF FINANCIAL OFFICER | NA | |
| CALBY, HEATHER, L. | I | CHIEF FINANCIAL OFFICER | NA | |
| CALBY, HEATHER, L. | I | CHIEF FINANCIAL OFFICER | NA | |
| CALBY, HEATHER, L. | I | CHIEF FINANCIAL OFFICER | NA | |
| CALBY, HEATHER, L. | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CALBY, HEATHER, L. | I | CHIEF FINANCIAL OFFICER | NA | |
| CRAWSHAW, CHRISTOPHER, DYSON | I | MANAGING DIRECTOR | NA | Control |
| CRAWSHAW, CHRISTOPHER, DYSON | I | SECRETARY AND MANAGING DIRECTOR | NA | Control |
| CRAWSHAW, CHRISTOPHER, DYSON | I | SECRETARY AND MANAGING DIRECTOR | NA | Control |
| CRAWSHAW, CHRISTOPHER, DYSON | I | MANAGING DIRECTOR /SHAREHOLDER | NA | |
| CRAWSHAW, CHRISTOPHER, DYSON | I | MANAGING DIRECTOR | NA | Control |
| CRAWSHAW, CHRISTOPHER, DYSON | I | MANAGING DIRECTOR | NA | Control |
| CRAWSHAW, CHRISTOPHER, DYSON | I | MANAGING DIRECTOR | NA | Control |
| CRAWSHAW, CHRISTOPHER, DYSON | I | MANAGING DIRECTOR /SHAREHOLDER | NA | |
| CRAWSHAW, CHRISTOPHER, DYSON | I | SENIOR VICE PRESIDENT/SHAREHOLDER | NA | |
| CRAWSHAW, CHRISTOPHER, DYSON | I | SECRETARY AND MANAGING DIRECTOR | NA | Control |
| CRAWSHAW, CHRISTOPHER, DYSON | I | SECRETARY AND MANAGING DIRECTOR | NA | Control |
| CRAWSHAW, CHRISTOPHER, DYSON | I | SECRETARY AND PRESIDENT | NA | Control |
| CRAWSHAW, CHRISTOPHER, DYSON | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| CRAWSHAW, CHRISTOPHER, DYSON | I | SECRETARY AND PRESIDENT | NA | Control |
| CRAWSHAW, CHRISTOPHER, DYSON | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| CRAWSHAW, CHRISTOPHER, DYSON | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| CRAWSHAW, CHRISTOPHER, DYSON | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| CRAWSHAW, CHRISTOPHER, DYSON | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| CRAWSHAW, CHRISTOPHER, DYSON | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| CRAWSHAW, CHRISTOPHER, DYSON | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| CROAL, MEGAN, MARGARET | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CROAL, MEGAN, MARGARET | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CROAL, MEGAN, MARGARET | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CROAL, MEGAN, MARGARET | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CUNNANE, JAMES, JOSEPH | I | DIRECTOR AND CHIEF INVESTMENT OFFICER OF MLP INVESTMENT TEAM | NA | Control |
| CUNNANE, JAMES, JOSEPH | I | DIRECTOR AND CHIEF INVESTMENT OFFICER OF MLP INVESTMENT TEAM | NA | Control |
| CUNNANE, JAMES, JOSEPH | I | DIRECTOR AND CHIEF INVESTMENT OFFICER OF MLP INVESTMENT TEAM | NA | Control |
| CUNNANE, JAMES, JOSEPH | I | DIRECTOR AND CHIEF INVESTMENT OFFICER OF MLP INVESTMENT TEAM | NA | Control |
| CUNNANE, JAMES, JOSEPH | I | DIRECTOR AND CHIEF INVESTMENT OFFICER OF MLP INVESTMENT TEAM | NA | Control |
| DUNN, MEGAN, MARGARET CROAL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DUNN, MEGAN, MARGARET CROAL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DUNN, MEGAN, MARGARET CROAL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| FREEMAN, ELLEN, DRINAN | I | CHIEF OPERATING OFFICER AND DIRECTOR | NA | Control |
| FREEMAN, ELLEN, DRINAN | I | CHIEF OPERATING OFFICER AND DIRECTOR | NA | Control |
| FREEMAN, ELLEN, DRINAN | I | CHIEF OPERATING OFFICER AND DIRECTOR | NA | Control |
| FREEMAN, ELLEN, DRINAN | I | CHIEF OPERATING OFFICER, AND DIRECTOR | NA | Control |
| FREEMAN, ELLEN, DRINAN | I | CHIEF OPERATING OFFICER, AND DIRECTOR | NA | Control |
| FREEMAN, ELLEN, DRINAN | I | CHIEF OPERATING OFFICER, AND DIRECTOR | NA | Control |
| FREEMAN, ELLEN, DRINAN | I | CHIEF OPERATING OFFICER, AND DIRECTOR | NA | Control |
| GREENWOOD, RICHARD, ALLEN | I | PRINCIPAL | NA | |
| GREENWOOD, RICHARD, ALLEN | I | PRINCIPAL | NA | |
| GREENWOOD, RICHARD, ALLEN | I | PRINCIPAL | NA | |
| HELLER, DAVID, BRUNO | I | CHAIRMAN | NA | Control |
| HELLER, DAVID, BRUNO | I | PRESIDENT | NA | |
| HELLER, DAVID, BRUNO | I | PRESIDENT | NA | |
| HELLER, DAVID, BRUNO | I | CHAIRMAN | NA | Control |
| HELLER, DAVID, BRUNO | I | CHAIRMAN | NA | Control |
| HELLER, DAVID, BRUNO | I | PRESIDENT | NA | Control |
| HELLER, DAVID, BRUNO | I | PRESIDENT | NA | |
| HOPFENSPERGER, CARI, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| HOPFENSPERGER, CARI, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| HOPFENSPERGER, CARI, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| HOPFENSPERGER, CARI, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| LANGER, JAMES, MILTON THOMAS | I | VICE PRESIDENT/SHAREHOLDER | NA | |
| LANGER, JAMES, MILTON THOMAS | I | VICE PRESIDENT/SHAREHOLDER | NA | |
| LANGER, JAMES, MILTON THOMAS | I | VICE PRESIDENT/SHAREHOLDER | NA | |
| LEVY, ARI, BRITT | I | VICE PRESIDENT | NA | |
| LEVY, ARI, BRITT | I | VICE PRESIDENT | NA | |
| MANNION, CHRISANNE, MARIE | I | VICE PRESIDENT/SHAREHOLDER | NA | |
| MANNION, CHRISANNE, MARIE | I | VICE PRESIDENT/SHAREHOLDER | NA | |
| MANNION, CHRISANNE, MARIE | I | VICE PRESIDENT/SHAREHOLDER | NA | |
| MORET, LAURA, MARIE | I | CHIEF LEGAL OFFICER | NA | Control |
| MORET, LAURA, MARIE | I | CHIEF LEGAL OFFICER | NA | Control |
| MORET, LAURA, MARIE | I | CHIEF LEGAL OFFICER | NA | Control |
| MORET, LAURA, MARIE | I | CHIEF LEGAL OFFICER | NA | Control |
| MORET, LAURA, MARIE | I | CHIEF LEGAL OFFICER | NA | Control |
| MORET, LAURA, MARIE | I | CHIEF LEGAL OFFICER | NA | Control |
| MORET, LAURA, MARIE | I | CHIEF LEGAL OFFICER | NA | Control |
| MORET, LAURA, MARIE | I | CHIEF LEGAL OFFICER | NA | Control |
| MORET, LAURA, MARIE | I | CHIEF LEGAL OFFICER | NA | Control |
| OBRIEN, BRIEN, MICHAEL | I | CEO AND PRESIDENT (CHIEF COMPLIANCE OFFICER) | NA | Control |
| OBRIEN, BRIEN, MICHAEL | I | CEO AND CHAIRMAN | NA | Control |
| OBRIEN, BRIEN, MICHAEL | I | CEO AND CHAIRMAN | NA | Control |
| OBRIEN, BRIEN, MICHAEL | I | CEO AND PRESIDENT (CHIEF COMPLIANCE OFFICER) | NA | Control |
| OBRIEN, BRIEN, MICHAEL | I | CEO AND PRESIDENT (CHIEF COMPLIANCE OFFICER) | NA | Control |
| OBRIEN, BRIEN, MICHAEL | I | CEO AND CHAIRMAN (CHIEF COMPLIANCE OFFICER) | NA | Control |
| OBRIEN, BRIEN, MICHAEL | I | CEO AND CHAIRMAN | NA | Control |
| OBRIEN, BRIEN, MICHAEL | I | CEO AND CHAIRMAN | NA | Control |
| OBRIEN, BRIEN, MICHAEL | I | CEO AND CHAIRMAN | NA | Control |
| OBRIEN, BRIEN, MICHAEL | I | CEO AND CHAIRMAN | NA | Control |
| PETTIT, KENTON, KELLER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PETTIT, KENTON, KELLER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PETTIT, KENTON, KELLER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PETTIT, KENTON, KELLER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ROTHMEYER, TRACY, ELIZABETH | I | VICE PRESIDENT/SHAREHOLDER | NA | |
| ROTHMEYER, TRACY, ELIZABETH | I | VICE PRESIDENT/SHAREHOLDER | NA | |
| ROTHMEYER, TRACY, ELIZABETH | I | VICE PRESIDENT/SHAREHOLDER | NA | |
| SCHONEMAN, DEBBRA, LYNN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SCHONEMAN, DEBBRA, LYNN | I | DIRECTOR | NA | Control |
| SCHONEMAN, DEBBRA, LYNN | I | DIRECTOR | NA | Control |
| SCHONEMAN, DEBBRA, LYNN | I | DIRECTOR | NA | Control |
| SCHONEMAN, DEBBRA, LYNN | I | DIRECTOR | NA | Control |
| SCHONEMAN, DEBBRA, LYNN | I | DIRECTOR | NA | Control |
| SMITH, THOMAS, GREGORY | I | BOARD MEMBER | NA | |
| SMITH, THOMAS, GREGORY | I | BOARD MEMBER | NA | |
| SMITH, THOMAS, GREGORY | I | BOARD MEMBER | NA | |
| SMITH, THOMAS, GREGORY | I | BOARD MEMBER | NA | |
| SMITH, THOMAS, GREGORY | I | BOARD MEMBER | NA | |
| SMITH, THOMAS, GREGORY | I | BOARD MEMBER | NA | |
| SMITH, THOMAS, GREGORY | I | BOARD MEMBER | NA | |
| SMITH, THOMAS, GREGORY | I | BOARD MEMBER | NA | |
| SMITH, THOMAS, GREGORY | I | BOARD MEMBER | NA | |
| SMITH, THOMAS, GREGORY | I | BOARD MEMBER | NA | |
| SMITH, THOMAS, GREGORY | I | BOARD MEMBER | NA | |
| SMITH, THOMAS, GREGORY | I | BOARD MEMBER | NA | |
| SMITH, THOMAS, GREGORY | I | BOARD MEMBER | NA | |
| STEINER, SUSAN, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | |
| STEINER, SUSAN, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | |
| STEINER, SUSAN, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | |
| STEINER, SUSAN, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | |
| STEINER, SUSAN, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEINER, SUSAN, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEINER, SUSAN, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | |
| STEINER, SUSAN, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEINER, SUSAN, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEINER, SUSAN, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEINER, SUSAN, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEINER, SUSAN, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEINER, SUSAN, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEINER, SUSAN, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEINER, SUSAN, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SWAIM, MATTHEW, KENT | I | CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| SWAIM, MATTHEW, KENT | I | CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| SWAIM, MATTHEW, KENT | I | CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| SWAIM, MATTHEW, KENT | I | CHAIRMAN, PRESIDENT, AND DIRECTOR | NA | Control |
| SWAIM, MATTHEW, KENT | I | CHAIRMAN, PRESIDENT, AND DIRECTOR | NA | Control |
| SWAIM, MATTHEW, KENT | I | CHAIRMAN, PRESIDENT, AND DIRECTOR | NA | Control |
| SWAIM, MATTHEW, KENT | I | CHAIRMAN, PRESIDENT, AND DIRECTOR | NA | Control |
| SWAIM, MATTHEW, KENT | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| SWAIM, MATTHEW, KENT | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| SWAIM, MATTHEW, KENT | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| SWAIM, MATTHEW, KENT | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| SWAIM, MATTHEW, KENT | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| SWAIM, MATTHEW, KENT | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| SWAIM, MATTHEW, KENT | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| SWAIM, MATTHEW, KENT | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| SWAIM, MATTHEW, KENT | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| SWAIM, MATTHEW, KENT | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| SWAIM, MATTHEW, KENT | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| Swaim, Matthew, Kent | I | DIRECTOR AND CHAIR OF EXECUTIVE COMMITTEE | NA | Control |
| Swaim, Matthew, Kent | I | DIRECTOR AND CHAIR OF EXECUTIVE COMMITTEE | NA | Control |
| Swaim, Matthew, Kent | I | DIRECTOR AND CHAIR OF EXECUTIVE COMMITTEE | NA | Control |
| Swaim, Matthew, Kent | I | DIRECTOR AND CHAIR OF EXECUTIVE COMMITTEE | NA | Control |
| Swaim, Matthew, Kent | I | DIRECTOR AND CHAIR OF EXECUTIVE COMMITTEE | NA | Control |
| TYNES, ROBERT, SHERMAN | I | VICE PRESIDENT | NA | |
| TYNES, ROBERT, SHERMAN | I | VICE PRESIDENT | NA | |
| ZESSAR, BRUCE, MICHAEL | I | DIRECTOR | NA | Control |
| ZESSAR, BRUCE, MICHAEL | I | DIRECTOR | NA | Control |
| ZESSAR, BRUCE, MICHAEL | I | DIRECTOR | NA | Control |
| ZESSAR, BRUCE, MICHAEL | I | CORPORATE SECRETARY, AND DIRECTOR | NA | Control |
| ZESSAR, BRUCE, MICHAEL | I | CORPORATE SECRETARY, AND DIRECTOR | NA | Control |
| ZESSAR, BRUCE, MICHAEL | I | CORPORATE SECRETARY, AND DIRECTOR | NA | Control |
| ZESSAR, BRUCE, MICHAEL | I | CORPORATE SECRETARY, AND DIRECTOR | NA | Control |
| ZESSAR, BRUCE, MICHAEL | I | CORPORATE SECRETARY, AND DIRECTOR | NA | Control |
| ZESSAR, BRUCE, MICHAEL | I | CORPORATE SECRETARY AND DIRECTOR | NA | Control |
| ZESSAR, BRUCE, MICHAEL | I | CORPORATE SECRETARY, AND DIRECTOR | NA | Control |
| ZESSAR, BRUCE, MICHAEL | I | CORPORATE SECRETARY AND DIRECTOR | NA | Control |
| ZESSAR, BRUCE, MICHAEL | I | CHIEF COMPLIANCE OFFICER, CORPORATE SECRETARY AND MANAGING DIRECTOR | NA | Control |
| ZESSAR, BRUCE, MICHAEL | I | CORPORATE SECRETARY AND DIRECTOR | NA | Control |
| ZESSAR, BRUCE, MICHAEL | I | CHIEF COMPLIANCE OFFICER, CORPORATE SECRETARY AND MANAGING DIRECTOR | NA | Control |
| ZESSAR, BRUCE, MICHAEL | I | CHIEF COMPLIANCE OFFICER, CORPORATE SECRETARY AND MANAGING DIRECTOR | NA | Control |
| ZESSAR, BRUCE, MICHAEL | I | CHIEF COMPLIANCE OFFICER, CORPORATE SECRETARY AND MANAGING DIRECTOR | NA | Control |
| ZESSAR, BRUCE, MICHAEL | I | CHIEF COMPLIANCE OFFICER, CORPORATE SECRETARY AND MANAGING DIRECTOR | NA | Control |
| ZESSAR, BRUCE, MICHAEL | I | CHIEF COMPLIANCE OFFICER, CORPORATE SECRETARY AND MANAGING DIRECTOR | NA | Control |
| ADVISORY RESEARCH SUBSIDIARY HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| ADVISORY RESEARCH SUBSIDIARY HOLDINGS, LLC | DE | OWNER | E | Control |
| ADVISORY RESEARCH SUBSIDIARY HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| ADVISORY RESEARCH SUBSIDIARY HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| ADVISORY RESEARCH SUBSIDIARY HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| OSTARA HOLDCO, INC. | DE | OWNER | E | Control |
| OSTARA HOLDCO, INC. | DE | OWNER | E | Control |
| OSTARA HOLDCO, INC. | DE | OWNER | E | Control |
| OSTARA HOLDCO, INC. | DE | OWNER | E | Control |
| OSTARA, INC. | DE | OWNER | E | Control |
| OSTARA, INC. | DE | OWNER | E | Control |
| OSTARA, INC. | DE | OWNER | E | Control |
| OSTARA, INC. | DE | OWNER | E | Control |
| OSTARA, INC. | DE | OWNER | E | Control |
| OSTARA, INC. | DE | OWNER | E | Control |
| OSTARA, INC. | DE | OWNER | E | Control |
| OSTARA, INC. | DE | OWNER | E | Control |
| OSTARA, INC. | DE | OWNER | E | Control |
| OSTARA, INC. | DE | OWNER | E | Control |
| OSTARA, INC. | DE | OWNER | E | Control |
| OSTARA, INC. | DE | OWNER | E | Control |
| OSTARA, INC. | DE | OWNER | E | Control |
| OSTARA, INC. | DE | OWNER | E | Control |
| PIPER JAFFRAY ASSET MANAGEMENT INC. | DE | OWNER | E | Control |
| PIPER JAFFRAY ASSET MANAGEMENT INC. | DE | OWNER | E | Control |
| PIPER JAFFRAY ASSET MANAGEMENT INC. | DE | OWNER | E | Control |
| PIPER JAFFRAY ASSET MANAGEMENT INC. | DE | OWNER | E | Control |
| PIPER JAFFRAY ASSET MANAGEMENT INC. | DE | OWNER | E | Control |
| PIPER JAFFRAY ASSET MANAGEMENT INC. | DE | OWNER | E | Control |
| PIPER JAFFRAY ASSET MANAGEMENT INC. | DE | OWNER | E | Control |
| PIPER JAFFRAY ASSET MANAGEMENT INC. | DE | OWNER | E | Control |
| PIPER JAFFRAY ASSET MANAGEMENT INC. | DE | OWNER | E | Control |
| PIPER JAFFRAY ASSET MANAGEMENT INC. | DE | OWNER | E | Control |
| PIPER JAFFRAY ASSET MANAGEMENT INC. | DE | OWNER | E | Control |
| PIPER JAFFRAY ASSET MANAGEMENT INC. | DE | OWNER | E | Control |
| PIPER JAFFRAY ASSET MANAGEMENT INC. | DE | OWNER | E | Control |
| PIPER JAFFRAY INVESTMENT MANAGEMENT INC. | DE | OWNER | E | Control |
| PIPER JAFFRAY INVESTMENT MANAGEMENT INC. | DE | OWNER | E | Control |
| PIPER JAFFRAY INVESTMENT MANAGEMENT INC. | DE | OWNER | E | Control |
| PIPER JAFFRAY INVESTMENT MANAGEMENT INC. | DE | OWNER | E | Control |
| OBRIEN, BRIEN, MICHAEL | I | CHAIRMAN | D | Control |
| OBRIEN, BRIEN, MICHAEL | I | CHAIRMAN | D | Control |
| OBRIEN, BRIEN, MICHAEL | I | CHAIRMAN | D | Control |
| HELLER, DAVD, BRUNO | I | PRESIDENT | B | Control |
| HELLER, DAVD, BRUNO | I | PRESIDENT | B | Control |
| HELLER, DAVD, BRUNO | I | PRESIDENT | B | Control |
| BLANK, JEROME | I | SHAREHOLDER | A | |
| BLANK, JEROME | I | SHAREHOLDER | A | |
| OSHER, BERNARD | I | SHAREHOLDER | A | |
| OSHER, BERNARD | I | SHAREHOLDER | A | |
| WEINSTEIN, WILLIAM, KLATOFF | I | SHAREHOLDER | A | |
| WEINSTEIN, WILLIAM, KLATOFF | I | SHAREHOLDER | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ADVISORY RESEARCH HOLDINGS, INC. | DE | ADVISORY RESEARCH SUBSIDIARY HOLDINGS, LLC | E | Control |
| ADVISORY RESEARCH HOLDINGS, INC. | DE | ADVISORY RESEARCH SUBSIDIARY HOLDINGS, LLC | E | Control |
| ADVISORY RESEARCH HOLDINGS, INC. | DE | ADVISORY RESEARCH SUBSIDIARY HOLDINGS, LLC | E | Control |
| ADVISORY RESEARCH HOLDINGS, INC. | DE | ADVISORY RESEARCH SUBSIDIARY HOLDINGS, LLC | E | Control |
| ADVISORY RESEARCH HOLDINGS, INC. | DE | ADVISORY RESEARCH SUBSIDIARY HOLDINGS, LLC | E | Control |
| PIPER JAFFRAY ASSET MANAGEMENT, INC. | DE | ADVISORY RESEARCH HOLDINGS, INC. | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PIPER JAFFRAY INVESTMENT MANAGEMENT, INC. | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PIPER JAFFRAY INVESTMENT MANAGEMENT, INC. | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PIPER JAFFRAY INVESTMENT MANAGEMENT, INC. | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PIPER JAFFRAY INVESTMENT MANAGEMENT, INC. | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PIPER JAFFRAY ASSET MANAGEMENT, INC. | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PIPER JAFFRAY ASSET MANAGEMENT, INC. | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PIPER JAFFRAY INVESTMENT MANAGEMENT, INC. | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PIPER JAFFRAY ASSET MANAGEMENT, INC. | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PIPER JAFFRAY ASSET MANAGEMENT, INC. | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PIPER JAFFRAY ASSET MANAGEMENT, INC. | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PIPER JAFFRAY ASSET MANAGEMENT, INC. | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PIPER JAFFRAY ASSET MANAGEMENT, INC. | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PIPER JAFFRAY ASSET MANAGEMENT, INC. | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PIPER JAFFRAY ASSET MANAGEMENT, INC. | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PIPER JAFFRAY ASSET MANAGEMENT, INC. | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PIPER JAFFRAY ASSET MANAGEMENT, INC. | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PIPER JAFFRAY ASSET MANAGEMENT, INC. | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PIPER JAFFRAY ASSET MANAGEMENT, INC. | E | Control |
| PIPER JAFFRAY INVESTMENT MANAGEMENT, INC | DE | PIPER JAFFRAY ASSET MANAGEMENT, INC. | E | Control |
| OBRIEN, BRIEN, MICHAEL | I | ADVISORY RESEARCH HOLDINGS, INC. | C | Control |
| OBRIEN, BRIEN, MICHAEL | I | ADVISORY RESEARCH HOLDINGS, INC. | C | Control |
| OBRIEN, BRIEN, MICHAEL | I | ADVISORY RESEARCH HOLDINGS, INC. | C | Control |
| OBRIEN, BRIEN, MICHAEL | I | ADVISORY RESEARCH HOLDINGS, INC. | C | Control |
| SWAIM, MATTHEW, KENT | I | OSTARA, INC. | C | Control |
| SWAIM, MATTHEW, KENT | I | OSTARA, INC. | C | Control |
| SWAIM, MATTHEW, KENT | I | OSTARA, INC. | C | Control |
| SWAIM, MATTHEW, KENT | I | OSTARA, INC. | C | Control |
| SWAIM, MATTHEW, KENT | I | OSTARA, INC. | C | Control |
| SWAIM, MATTHEW, KENT | I | OSTARA, INC. | C | Control |
| SWAIM, MATTHEW, KENT | I | OSTARA, INC. | C | Control |
| SWAIM, MATTHEW, KENT | I | OSTARA, INC. | C | Control |
| SWAIM, MATTHEW, KENT | I | OSTARA, INC. | C | Control |
| SWAIM, MATTHEW, KENT | I | OSTARA, INC. | C | Control |
| SWAIM, MATTHEW, KENT | I | OSTARA, INC. | C | Control |
| SWAIM, MATTHEW, KENT | I | OSTARA, INC. | C | Control |
| SWAIM, MATTHEW, KENT | I | OSTARA, INC. | C | Control |
| SWAIM, MATTHEW, KENT | I | OSTARA, INC. | C | Control |
Registrations
Federal
IA
Nov 18, 2025 REGISTERED
Notice Filings (52)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VI VT WA WI WV
Address
180 N STETSON AVENUESUITE 5500
CHICAGO, IL 60601
United States
Phone: 312-565-1414