Purchases and Sales Made in Q3 2021 in Hercules Capital, Inc. (HTGC)
This table provides information about the institutional ownership of Hercules Capital, Inc. (HTGC) during Q3 2021. The information is specifically focused on institutions that hold shares of Hercules Capital, Inc..
| Report Date | Institution (Fund) | Operation | Option | Shares change | Value Range | Shares Held | Trade History |
|---|---|---|---|---|---|---|---|
|
Oct 13, 2021
Q3 2021
|
Gilman Hill Asset Management, LLC
|
BUY
|
- |
7.8K+ 1.55% |
$129K - $137K
|
512K
$9.85M
|
|
|
Nov 15, 2021
Q3 2021
|
Great West Life Assurance CO
Winnipeg, A2 |
BUY
|
- |
6.87K+ 18.33% |
$113K - $121K
|
44.3K
$853K
|
|
|
Nov 15, 2021
Q3 2021
|
Wells Fargo & Company
San Francisco, CA |
BUY
|
- |
6.13K+ 0.87% |
$101K - $108K
|
709K
$13.6M
|
|
|
Nov 15, 2021
Q3 2021
|
Walled Lake Planning & Wealth Management, LLC
Winnetka, IL |
BUY
|
- |
6.05KNew |
$99.8K - $106K
|
6.05K
$116K
|
|
|
Oct 29, 2021
Q3 2021
|
Janney Montgomery Scott LLC
|
BUY
|
- |
4.92K+ 3.85% |
$81.2K - $86.4K
|
133K
$2.55M
|
|
|
Nov 16, 2021
Q3 2021
|
Cetera Advisors LLC
Denver, CO |
BUY
|
- |
4.81K+ 13.62% |
$79.3K - $84.4K
|
40.1K
$771K
|
|
|
Nov 15, 2021
Q3 2021
|
Vestmark Advisory Solutions, Inc.
|
BUY
|
- |
3.89K+ 27.5% |
$64.2K - $68.3K
|
18K
$347K
|
|
|
Nov 15, 2021
Q3 2021
|
Voloridge Investment Management, LLC
Jupiter, FL |
BUY
|
- |
3.86K+ 2.08% |
$63.6K - $67.7K
|
189K
$3.64M
|
|
|
Oct 14, 2021
Q3 2021
|
Private Advisor Group, LLC
|
BUY
|
- |
3.84K+ 8.25% |
$63.3K - $67.4K
|
50.4K
$969K
|
|
|
Oct 14, 2021
Q3 2021
|
Security National Bank
|
BUY
|
- |
3.26K+ 2.15% |
$53.7K - $57.2K
|
155K
$2.98M
|
|
|
Nov 16, 2021
Q3 2021
|
Cetera Advisor Networks LLC
El Segundo, CA |
BUY
|
- |
3.19K+ 30.4% |
$52.6K - $56K
|
13.7K
$263K
|
|
|
Nov 15, 2021
Q3 2021
|
United Capital Financial Advisers, LLC
Newport Beach, CA |
BUY
|
- |
3.15K+ 29.3% |
$52K - $55.3K
|
13.9K
$267K
|
|
|
Oct 15, 2021
Q3 2021
|
Fifth Third Bancorp
|
BUY
|
- |
3.15KNew |
$51.9K - $55.2K
|
3.15K
$60.5K
|
|
|
Oct 19, 2021
Q3 2021
|
Arkadios Wealth Advisors
|
BUY
|
- |
2.99K+ 4.53% |
$49.3K - $52.5K
|
68.9K
$1.33M
|
|
|
Nov 12, 2021
Q3 2021
|
Neuberger Berman Group LLC
New York, NY |
BUY
|
- |
2.98K+ 1.74% |
$49.2K - $52.3K
|
174K
$3.35M
|
|
|
Oct 25, 2021
Q3 2021
|
Naples Global Advisors, LLC
Naples, FL |
BUY
|
- |
2.85K+ 5.8% |
$46.9K - $50K
|
51.9K
$998K
|
|
|
Nov 15, 2021
Q3 2021
|
Tower Research Capital LLC (Trc)
New York, NY |
BUY
|
- |
2.77K+ 422.87% |
$45.8K - $48.7K
|
3.43K
$66K
|
|
|
Nov 12, 2021
Q3 2021
|
Blair William & CO
Chicago, IL |
BUY
|
- |
2.46K+ 1.71% |
$40.6K - $43.2K
|
146K
$2.82M
|
|
|
Nov 15, 2021
Q3 2021
|
Virtus ETF Advisers LLC
New York, NY |
BUY
|
- |
2.41K+ 7.24% |
$39.7K - $42.3K
|
35.7K
$686K
|
|
|
Nov 15, 2021
Q3 2021
|
Carolinas Wealth Consulting LLC
Charlotte, NC |
BUY
|
- |
2.09K+ 117.8% |
$34.5K - $36.7K
|
3.87K
$74.4K
|
|
|
Nov 12, 2021
Q3 2021
|
First Republic Investment Management, Inc.
San Francisco, CA |
BUY
|
- |
2.01K+ 4.29% |
$33.2K - $35.3K
|
49K
$942K
|
|
|
Nov 04, 2021
Q3 2021
|
Cullen/Frost Bankers, Inc.
|
BUY
|
- |
2KNew |
$33K - $35.1K
|
2K
$38.5K
|
|
|
Oct 12, 2021
Q3 2021
|
Koshinski Asset Management, Inc.
|
BUY
|
- |
2KNew |
$33K - $35.1K
|
2K
$38.5K
|
|
|
Nov 10, 2021
Q3 2021
|
Allianz Asset Management Gmb H
Munich, 2M |
BUY
|
- |
1.95K+ 6.28% |
$32.2K - $34.3K
|
33.1K
$636K
|
|
|
Nov 12, 2021
Q3 2021
|
Hexagon Capital Partners LLC
|
BUY
|
- |
1.77KNew |
$29.1K - $31K
|
1.77K
$34K
|
|
|
Oct 04, 2021
Q3 2021
|
Confluence Investment Management LLC
|
BUY
|
- |
1.72K+ 0.42% |
$28.4K - $30.2K
|
410K
$7.9M
|
|
|
Nov 12, 2021
Q3 2021
|
Meridian Wealth Partners, LLC
Blue Bell, PA |
BUY
|
- |
1.67KNew |
$27.6K - $29.3K
|
1.67K
$32.1K
|
|
|
Nov 15, 2021
Q3 2021
|
Harbour Investments, Inc.
Madison, WI |
BUY
|
- |
1.53K+ 38.72% |
$25.2K - $26.9K
|
5.48K
$105K
|
|
|
Nov 12, 2021
Q3 2021
|
Clearstead Advisors, LLC
Cleveland, OH |
BUY
|
- |
1.12KNew |
$18.4K - $19.6K
|
1.12K
$21.5K
|
|
|
Nov 10, 2021
Q3 2021
|
Essex Financial Services, Inc.
|
BUY
|
- |
1.1K+ 7.07% |
$18.2K - $19.3K
|
16.7K
$321K
|
|
|
Nov 08, 2021
Q3 2021
|
Duality Advisers, LP
Miami, FL |
BUY
|
- |
990+ 1.54% |
$16.3K - $17.4K
|
65.5K
$1.26M
|
|
|
Aug 16, 2024
Q3 2021
|
Td Private Client Wealth LLC
New York, NY |
BUY
|
- |
903New |
$14.9K - $15.9K
|
903
$17.4K
|
|
|
Nov 16, 2021
Q3 2021
|
Kozak & Associates, Inc.
Highlands Ranch, CO |
BUY
|
- |
867New |
$14.3K - $15.2K
|
867
$16.7K
|
|
|
Oct 27, 2021
Q3 2021
|
Taylor Frigon Capital Management LLC
|
BUY
|
- |
676+ 0.86% |
$11.2K - $11.9K
|
79.6K
$1.53M
|
|
|
Nov 18, 2021
Q3 2021
|
Wealthsource Partners, LLC
|
BUY
|
- |
645+ 2.54% |
$10.6K - $11.3K
|
26K
$500K
|
|
|
Nov 05, 2021
Q3 2021
|
Pnc Financial Services Group, Inc.
Pittsburgh, PA |
BUY
|
- |
601+ 0.23% |
$9.92K - $10.6K
|
266K
$5.12M
|
|
|
Nov 10, 2021
Q3 2021
|
Us Bancorp \De\
|
BUY
|
- |
567+ 1.43% |
$9.36K - $9.96K
|
40.2K
$774K
|
|
|
Nov 03, 2021
Q3 2021
|
Kovack Advisors, Inc.
|
BUY
|
- |
432+ 1.78% |
$7.13K - $7.59K
|
24.7K
$475K
|
|
|
Nov 12, 2021
Q3 2021
|
Steward Partners Investment Advisory, LLC
|
BUY
|
- |
428+ 1.22% |
$7.06K - $7.52K
|
35.5K
$684K
|
|
|
Nov 15, 2021
Q3 2021
|
Founders Financial Alliance, LLC
Raleigh, NC |
BUY
|
- |
424+ 2.22% |
$7K - $7.45K
|
19.5K
$376K
|
|
|
Nov 12, 2021
Q3 2021
|
Carmichael Hill & Associates, Inc.
|
BUY
|
- |
370New |
$6.11K - $6.5K
|
370
$7.12K
|
|
|
Oct 25, 2021
Q3 2021
|
Cerity Partners LLC
New York, NY |
BUY
|
- |
363+ 1.23% |
$5.99K - $6.37K
|
29.8K
$573K
|
|
|
Nov 12, 2021
Q3 2021
|
Psi Advisors, LLC
|
BUY
|
- |
350New |
$5.78K - $6.15K
|
350
$6.73K
|
|
|
Nov 09, 2021
Q3 2021
|
Geneos Wealth Management Inc.
|
BUY
|
- |
314+ 1.26% |
$5.18K - $5.51K
|
25.2K
$485K
|
|
|
Nov 15, 2021
Q3 2021
|
Williams Jones Wealth Management, Llc.
New York, NY |
BUY
|
- |
252+ 1.89% |
$4.16K - $4.43K
|
13.6K
$261K
|
|
|
Oct 13, 2021
Q3 2021
|
Private Capital Group, LLC
|
BUY
|
- |
148+ 12.35% |
$2.44K - $2.6K
|
1.35K
$25.9K
|
|
|
Nov 02, 2021
Q3 2021
|
Parallel Advisors, LLC
|
BUY
|
- |
119+ 8.62% |
$1.96K - $2.09K
|
1.5K
$28.9K
|
|
|
Nov 04, 2021
Q3 2021
|
Tradewinds Capital Management, LLC
|
BUY
|
- |
50+ 1.92% |
$825 - $878
|
2.65K
$50.9K
|
|
|
Oct 20, 2021
Q3 2021
|
North Star Investment Management Corp.
Chicago, IL |
BUY
|
- |
44+ 0.16% |
$726 - $773
|
27.8K
$535K
|
|
|
Nov 12, 2021
Q3 2021
|
Cordasco Financial Network
|
BUY
|
- |
33+ 2.28% |
$545 - $579
|
1.48K
$28.5K
|