Sheaff Brock Investment Advisors, LLC Closed Holding Positions

Sheaff Brock Investment Advisors, LLC

  • $1.14 Billion
  • Q4 2024
Stock Closed Quarter Shares Sold Price Range Trade History
BEAM
Beam Therapeutics Inc.

Healthcare
Q4 2021 Filed on Feb 03, 2022
2,500
$68.02 - $99.06 $170K - $248K
RQI
Cohen & Steers Quality Income Realty Fund Inc

Financial Services
Q3 2021 Filed on Nov 03, 2021
11,370
$14.9 - $16.69 $169K - $190K
CLVS
Clovis Oncology, Inc.

Healthcare
Q3 2021 Filed on Nov 03, 2021
14,351
$4.06 - $5.8 $58.3K - $83.2K
JMIA
Jumia Technologies Ag

Consumer Cyclical
Q3 2021 Filed on Nov 03, 2021
7,304
$17.08 - $28.65 $125K - $209K
PINS
Pinterest, Inc.

Communication Services
Q3 2021 Filed on Nov 03, 2021
3,483
$50.37 - $80.29 $175K - $280K
Slack Technologies Inc
Q3 2021 Filed on Nov 03, 2021
8,645
N/A
XSOE
Wisdomtree Tr Emerging Mkts Ex

ETFs
Q3 2021 Filed on Nov 03, 2021
6,200
$37.03 - $41.81 $230K - $259K
ENDPQ
Endo Intl PLC Ord Shs (Irl)
Q3 2021 Filed on Nov 03, 2021
20,000
N/A
UL
Unilever PLC

Consumer Defensive
Q3 2021 Filed on Nov 03, 2021
3,630
$53.95 - $60.15 $196K - $218K
HI
Hillenbrand, Inc.

Industrials
Q3 2021 Filed on Nov 03, 2021
26,091
$40.98 - $46.63 $1.07M - $1.22M
NVCR
Novo Cure LTD

Healthcare
Q3 2021 Filed on Nov 03, 2021
950
$116.17 - $194.55 $110K - $185K
TKR
Timken CO

Industrials
Q3 2021 Filed on Nov 03, 2021
15,375
$65.42 - $80.71 $1.01M - $1.24M
DCF
Bny Mellon Alcentra Global Credit Income 2024 Target Term Fund, Inc.

N/A
Q3 2021 Filed on Nov 03, 2021
10,213
$9.29 - $9.84 $94.9K - $100K
BEP
Brookfield Renewable Partners L.P.

Utilities
Q3 2021 Filed on Nov 03, 2021
5,200
$36.59 - $41.67 $190K - $217K
Churchill Capital Corp Iv
Q3 2021 Filed on Nov 03, 2021
10,193
N/A
EEM
Ishares Msci Emerging Markets

ETFs
Q3 2021 Filed on Nov 03, 2021
4,047
$49.5 - $54.84 $200K - $222K
CHMI
Cherry Hill Mortgage Investment Corp

Real Estate
Q3 2021 Filed on Nov 03, 2021
12,126
$8.85 - $9.91 $107K - $120K
DBX
Dropbox, Inc.

Technology
Q3 2021 Filed on Nov 03, 2021
9,900
$29.22 - $32.44 $289K - $321K
DG
Dollar General Corp

Consumer Defensive
Q3 2021 Filed on Nov 03, 2021
1,489
$212.14 - $238.22 $316K - $355K
VUZI
Vuzix Corp

Technology
Q2 2021 Filed on Aug 16, 2021
9,000
$15.17 - $30.57 $137K - $275K
Blackrock Mun Income Invt Tr
Q2 2021 Filed on Aug 16, 2021
13,292
N/A
PNNT
Pennantpark Investment Corp

Financial Services
Q2 2021 Filed on Aug 16, 2021
10,590
$5.74 - $7.37 $60.8K - $78K
Marvell Technology Group LTD
Q2 2021 Filed on Aug 16, 2021
40,199
N/A
TTGT
Tech Target Inc

Communication Services
Q2 2021 Filed on Aug 16, 2021
12,776
$65.5 - $80.25 $837K - $1.03M
SND
Smart Sand, Inc.

Energy
Q2 2021 Filed on Aug 16, 2021
33,700
$2.2 - $3.33 $74.1K - $112K
VIVO
Meridian Bioscience Inc

Healthcare
Q2 2021 Filed on Aug 16, 2021
41,454
$18.01 - $28.32 $747K - $1.17M
FAST
Fastenal CO

Industrials
Q2 2021 Filed on Aug 16, 2021
15,000
$49.93 - $54.18 $749K - $813K
TSM
Taiwan Semiconductor Manufacturing CO LTD

Technology
Q2 2021 Filed on Aug 16, 2021
2,500
$108.21 - $124.8 $271K - $312K
NVTA
Invitae Corp

Healthcare
Q2 2021 Filed on Aug 16, 2021
5,380
$26.09 - $40.4 $140K - $217K
FORM
Formfactor Inc

Technology
Q2 2021 Filed on Aug 16, 2021
27,569
$33.07 - $51.12 $912K - $1.41M
Enable Midstream Partners LP
Q2 2021 Filed on Aug 16, 2021
10,000
N/A
Seagate Technology PLC
Q2 2021 Filed on Aug 16, 2021
7,862
N/A
CIEN
Ciena Corp

Technology
Q2 2021 Filed on Aug 16, 2021
4,173
$49.52 - $60.77 $207K - $254K
Proshares Tr Ii
Q2 2021 Filed on Aug 16, 2021
33,700
N/A
Vereit Inc
Q2 2021 Filed on Aug 16, 2021
22,713
N/A
NIO
Nio Inc.

Consumer Cyclical
Q2 2021 Filed on Aug 16, 2021
8,000
$31.22 - $53.2 $250K - $426K
SPXS
Direxion Shs ETF Tr Daily S&P

ETFs
Q2 2021 Filed on Aug 16, 2021
10,000
$24.1 - $30.32 $241K - $303K
TSN
Tyson Foods, Inc.

Consumer Defensive
Q2 2021 Filed on Aug 16, 2021
7,441
$72.76 - $80.69 $541K - $600K
SPLK
Splunk Inc

Technology
Q1 2021 Filed on May 11, 2021
1,224
$131.03 - $175.09 $160K - $214K
U
Unity Software Inc.

Technology
Q1 2021 Filed on May 11, 2021
1,425
$90.88 - $155.86 $130K - $222K
SCHG
Schwab Strategic Tr Us Large C

ETFs
Q1 2021 Filed on May 11, 2021
1,700
$61.41 - $68.35 $104K - $116K
Bristol Myers Squibb CO
Q1 2021 Filed on May 11, 2021
21,667
N/A
APPS
Digital Turbine, Inc.

Technology
Q1 2021 Filed on May 11, 2021
5,723
$49.09 - $94.74 $281K - $542K
PFD
Flaherty & Crumrine Preferred & Income Fund Inc

Financial Services
Q1 2021 Filed on May 11, 2021
12,000
$17.23 - $20.07 $207K - $241K
ARKG
Ark Genomic Revolution ETF (De

ETFs
Q1 2021 Filed on May 11, 2021
10,085
$81.74 - $112.47 $824K - $1.13M
STOR
Store Capital Corp

Real Estate
Q1 2021 Filed on May 11, 2021
35,005
$30.32 - $35.08 $1.06M - $1.23M
BND
Vanguard Bd Index Fd Inc Total

ETFs
Q1 2021 Filed on May 11, 2021
3,647
$84.36 - $88.07 $308K - $321K
TRU
Trans Union

Industrials
Q1 2021 Filed on May 11, 2021
11,058
$84.21 - $95.85 $931K - $1.06M
ARR
Armour Residential Reit, Inc.

Real Estate
Q1 2021 Filed on May 11, 2021
10,380
$10.61 - $12.33 $110K - $128K
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