0001085146-22-002314.txt : 20220711
0001085146-22-002314.hdr.sgml : 20220711
20220708180050
ACCESSION NUMBER: 0001085146-22-002314
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20220630
FILED AS OF DATE: 20220711
DATE AS OF CHANGE: 20220708
EFFECTIVENESS DATE: 20220711
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: SANDERS MORRIS HARRIS LLC
CENTRAL INDEX KEY: 0001053994
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-12760
FILM NUMBER: 221075474
BUSINESS ADDRESS:
STREET 1: 3100 CHASE TOWER
CITY: HOUSTON
STATE: TX
ZIP: 77002
BUSINESS PHONE: 7132243100
MAIL ADDRESS:
STREET 1: 600 TRAVIS, SUITE 5900
CITY: HOUSTON
STATE: TX
ZIP: 77002
FORMER COMPANY:
FORMER CONFORMED NAME: SANDERS MORRIS HARRIS INC.
DATE OF NAME CHANGE: 20110404
FORMER COMPANY:
FORMER CONFORMED NAME: SMH CAPITAL INC.
DATE OF NAME CHANGE: 20080311
FORMER COMPANY:
FORMER CONFORMED NAME: SANDERS MORRIS HARRIS INC/FA
DATE OF NAME CHANGE: 20000208
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001053994
XXXXXXXX
06-30-2022
06-30-2022
false
SANDERS MORRIS HARRIS LLC
600 Travis, Suite 5900
Houston
TX
77002
13F HOLDINGS REPORT
028-12760
Y
SANDERS MORRIS HARRIS LLC FORMERLY SUBMITTED A 13F-NT REPORT ASSOCIATED WITH THE 13F-HR REPORT OF PINNACLE SUMMER INVESTMENTS, INC. - FILE NUMBER 028-13429
David Block
OSJ Supervisor
713-226-4808
/s/ David Block
Houston
TX
07-07-2022
0
288
457091
false
INFORMATION TABLE
2
infotable.xml
INFORMATION TABLE
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COM CL A
90138P100
98
10000
SH
SOLE
0
0
10000
7GC & CO HOLDINGS INC
COM CL A
81786A107
98
10000
SH
SOLE
0
0
10000
ABBOTT LABS
COM
002824100
857
7785
SH
SOLE
0
0
7785
ABBVIE INC
COM
00287Y109
3559
23158
SH
SOLE
0
0
23158
ACTIVISION BLIZZARD INC
COM
00507V109
727
9255
SH
SOLE
0
0
9255
ADIT EDTECH ACQUISITION CORP
COMMON STOCK
007024102
285
29000
SH
SOLE
0
0
29000
ADOBE SYSTEMS INCORPORATED
COM
00724F101
1268
3440
SH
SOLE
0
0
3440
ADVANCED MICRO DEVICES INC
COM
007903107
2177
29401
SH
SOLE
0
0
29401
AIR PRODS & CHEMS INC
COM
009158106
550
2290
SH
SOLE
0
0
2290
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
425
3740
SH
SOLE
0
0
3740
ALNYLAM PHARMACEUTICALS INC
COM
02043Q107
519
3500
SH
SOLE
0
0
3500
ALPHABET INC
CAP STK CL A
02079K305
521
239
SH
SOLE
0
0
239
ALPHABET INC
CAP STK CL C
02079K107
2391
1096
SH
SOLE
0
0
1096
ALTRIA GROUP INC
COM
02209S103
832
19785
SH
SOLE
0
0
19785
AMAZON COM INC
COM
023135106
2050
18895
SH
SOLE
0
0
18895
AMDOCS LTD
SHS
G02602103
464
5500
SH
SOLE
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0
5500
AMERICA FIRST MULTIFAMILY IN
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02364V206
241
13167
SH
SOLE
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0
13167
AMERICAN EXPRESS CO
COM
025816109
427
3042
SH
SOLE
0
0
3042
AMGEN INC
COM
031162100
1054
4292
SH
SOLE
0
0
4292
ANTERO RESOURCES CORP
COM
03674X106
598
19511
SH
SOLE
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0
19511
APPLE INC
COM
037833100
16888
122438
SH
SOLE
0
0
122438
APTOSE BIOSCIENCES INC
COM NEW
03835T200
812
1024215
SH
SOLE
0
0
1024215
ARDAGH METAL PACKAGING S A
SHS
L02235106
211
34500
SH
SOLE
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0
34500
ARES ACQUISITION CORPORATION
COM CL A
G33032106
344
35000
SH
SOLE
0
0
35000
ARK ETF TR
INNOVATION ETF
00214Q104
8191
205375
SH
SOLE
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0
205375
AST SPACEMOBILE INC
COM CL A
00217D100
112
17687
SH
SOLE
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0
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ASTREA ACQUISITION CORP
COM CL A
04637C106
206
21000
SH
SOLE
0
0
21000
AT&T INC
COM
00206R102
1463
69066
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SOLE
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0
69066
ATLAS CREST INVESTMENT CORP
COM CL A
049287105
172
17492
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SOLE
0
0
17492
ATLASSIAN CORP PLC
CL A
G06242104
533
2700
SH
SOLE
0
0
2700
AUTOMATIC DATA PROCESSING IN
COM
053015103
522
2450
SH
SOLE
0
0
2450
AUTONATION INC
COM
05329W102
559
5000
SH
SOLE
0
0
5000
AVNET INC
COM
053807103
410
9570
SH
SOLE
0
0
9570
BAUSCH HEALTH COS INC
COM
071734107
298
35013
SH
SOLE
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0
35013
BAXTER INTL INC
COM
071813109
333
5100
SH
SOLE
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0
5100
BERKSHIRE HATHAWAY INC DEL
CL A
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3743
9
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SOLE
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BERKSHIRE HATHAWAY INC DEL
CL B NEW
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313
1146
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SOLE
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0
1146
BIOMARIN PHARMACEUTICAL INC
COM
09061G101
340
4000
SH
SOLE
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0
4000
BITE ACQUISITION CORP
COMMON STOCK
09175K105
196
19998
SH
SOLE
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0
19998
BK OF AMERICA CORP
COM
060505104
309
9919
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43601
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SHS BEN INT
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40155
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COM
09247X101
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1359
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SOLE
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BLACKSTONE INC
COM
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419105
SH
SOLE
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BLOCK INC
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4583
SH
SOLE
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COM
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COM
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COM
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SOLE
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BROADMARK RLTY CAP INC
COM
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SH
SOLE
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COM
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31864
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SOLE
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CAPITAL SOUTHWEST CORP
COM
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COM
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1775
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CELANESE CORP DEL
COM
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5000
SH
SOLE
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0
5000
CHARTER COMMUNICATIONS INC N
CL A
16119P108
585
1217
SH
SOLE
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0
1217
CIGNA CORP NEW
COM
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4493
SH
SOLE
0
0
4493
CINTAS CORP
COM
172908105
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12357
SH
SOLE
0
0
12357
CISCO SYS INC
COM
17275R102
289
6775
SH
SOLE
0
0
6775
CITIGROUP INC
COM NEW
172967424
230
4994
SH
SOLE
0
0
4994
CITIZENS FINL GROUP INC
COM
174610105
2420
67001
SH
SOLE
0
0
67001
CLOROX CO DEL
COM
189054109
314
2183
SH
SOLE
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0
2183
CLOUDFLARE INC
CL A COM
18915M107
1958
42746
SH
SOLE
0
0
42746
COCA COLA CO
COM
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483
7681
SH
SOLE
0
0
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COGNIZANT TECHNOLOGY SOLUTIO
CL A
192446102
408
6000
SH
SOLE
0
0
6000
COLGATE PALMOLIVE CO
COM
194162103
403
4920
SH
SOLE
0
0
4920
COLLABORATIVE INVESTMNT SER
RAREVIEW DYNAMIC
19423L722
260
11025
SH
SOLE
0
0
11025
COMCAST CORP NEW
CL A
20030N101
438
10877
SH
SOLE
0
0
10877
CONOCOPHILLIPS
COM
20825C104
580
6458
SH
SOLE
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0
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CRESTWOOD EQUITY PARTNERS LP
UNIT LTD PARTNER
226344208
254
10570
SH
SOLE
0
0
10570
CRINETICS PHARMACEUTICALS IN
COM
22663K107
351
18600
SH
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0
18600
CROWN CASTLE INTL CORP NEW
COM
22822V101
309
1830
SH
SOLE
0
0
1830
CROWN ELECTROKINETICS CORP
COM NEW
228339206
27
29124
SH
SOLE
0
0
29124
CSX CORP
COM
126408103
660
22500
SH
SOLE
0
0
22500
CUE BIOPHARMA INC
COM
22978P106
1803
736212
SH
SOLE
0
0
736212
CULLEN FROST BANKERS INC
COM
229899109
233
2000
SH
SOLE
0
0
2000
CUMMINS INC
COM
231021106
225
1161
SH
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1161
CVS HEALTH CORP
COM
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560
5974
SH
SOLE
0
0
5974
CYTOKINETICS INC
COM NEW
23282W605
890
21755
SH
SOLE
0
0
21755
DATADOG INC
CL A COM
23804L103
944
9340
SH
SOLE
0
0
9340
DEXCOM INC
COM
252131107
311
4000
SH
SOLE
0
0
4000
DIAGEO PLC
SPON ADR NEW
25243Q205
231
1325
SH
SOLE
0
0
1325
DISH NETWORK CORPORATION
CL A
25470M109
187
10204
SH
SOLE
0
0
10204
DISNEY WALT CO
COM
254687106
1775
18538
SH
SOLE
0
0
18538
DPCM CAP INC
COM CL A
23344P101
298
29995
SH
SOLE
0
0
29995
DRAFTKINGS INC NEW
COM CL A
26142V105
142
12191
SH
SOLE
0
0
12191
DROPBOX INC
CL A
26210C104
284
12970
SH
SOLE
0
0
12970
DUKE ENERGY CORP NEW
COM NEW
26441C204
284
2650
SH
SOLE
0
0
2650
E2OPEN PARENT HOLDINGS INC
COM CL A
29788T103
134
17200
SH
SOLE
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0
17200
EARTHSTONE ENERGY INC
CL A
27032D304
2079
152300
SH
SOLE
0
0
152300
EATON CORP PLC
SHS
G29183103
302
2400
SH
SOLE
0
0
2400
ECOLAB INC
COM
278865100
907
5752
SH
SOLE
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0
5752
EDWARDS LIFESCIENCES CORP
COM
28176E108
449
4620
SH
SOLE
0
0
4620
ELANCO ANIMAL HEALTH INC
COM
28414H103
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440500
SH
SOLE
0
0
440500
ELECTRONIC ARTS INC
COM
285512109
657
5350
SH
SOLE
0
0
5350
ELEVANCE HEALTH INC
COM
036752103
923
1900
SH
SOLE
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0
1900
ENBRIDGE INC
COM
29250N105
202
4797
SH
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ENERGY TRANSFER L P
COM UT LTD PTN
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68525
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ENTERPRISE PRODS PARTNERS L
COM
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SH
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EQUIFAX INC
COM
294429105
384
2100
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2100
EROS MEDIA WORLD PLC
ORD SHS A
G3788R105
292
121178
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121178
ESPERION THERAPEUTICS INC NE
COM
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EXXON MOBIL CORP
COM
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SH
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FEDEX CORP
COM
31428X106
716
3200
SH
SOLE
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FIGS INC
CL A
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FIRST TR EXCHANGE TRADED FD
NASDAQ CYB ETF
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FIRSTCASH HOLDINGS INC
COM
33768G107
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FORTRESS TRANS INFRST INVS L
CL A COM SHS
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FRONTIER COMMUNICATIONS PARE
COM
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FTAC ATHENA ACQUISITION CORP
CL A SHS
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10000
GENERAL DYNAMICS CORP
COM
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COM NEW
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COM
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UNIT LTD PARTN
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COM
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COM UNITS
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US INFR DEV ETF
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COM
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COM
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GOODYEAR TIRE & RUBR CO
COM
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COM
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COM
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COM
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COM
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COM
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HP INC
COM
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INCYTE CORP
COM
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COM
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INTEL CORP
COM
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COM
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COM
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COM
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JPMORGAN CHASE & CO
COM
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COM
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KINSALE CAP GROUP INC
COM
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KLA CORP
COM NEW
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COM
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COM
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COM
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COM
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SHS
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LISTED FD TR
TRUESHS ESG ACTV
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LITTELFUSE INC
COM
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LOCKHEED MARTIN CORP
COM
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LOEWS CORP
COM
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LOGICBIO THERAPEUTICS INC
COM
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LONGVIEW ACQUISITION CORP II
COM CL A
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LOWES COS INC
COM
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LULULEMON ATHLETICA INC
COM
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LUMEN TECHNOLOGIES INC
COM
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MACROGENICS INC
COM
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COM
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COM CL A
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10200
MCDONALDS CORP
COM
580135101
617
2500
SH
SOLE
0
0
2500
MCKESSON CORP
COM
58155Q103
1111
3370
SH
SOLE
0
0
3370
MEDICAL PPTYS TRUST INC
COM
58463J304
275
18030
SH
SOLE
0
0
18030
MEDTRONIC PLC
SHS
G5960L103
434
4744
SH
SOLE
0
0
4744
MERCK & CO INC
COM
58933Y105
510
5544
SH
SOLE
0
0
5544
MERUS N V
COM
N5749R100
555
24870
SH
SOLE
0
0
24870
META PLATFORMS INC
CL A
30303M102
844
5268
SH
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0
0
5268
MFS HIGH INCOME MUN TR
SH BEN INT
59318D104
445
116251
SH
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0
0
116251
MICROSOFT CORP
COM
594918104
3887
15042
SH
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0
0
15042
MISSION PRODUCE INC
COM
60510V108
143
10000
SH
SOLE
0
0
10000
MOLINA HEALTHCARE INC
COM
60855R100
670
2370
SH
SOLE
0
0
2370
MONDELEZ INTL INC
CL A
609207105
1574
24926
SH
SOLE
0
0
24926
MOTOROLA SOLUTIONS INC
COM NEW
620076307
994
4735
SH
SOLE
0
0
4735
MPLX LP
COM UNIT REP LTD
55336V100
230
7823
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0
0
7823
MURPHY USA INC
COM
626755102
474
2000
SH
SOLE
0
0
2000
NEW MTN FIN CORP
COM
647551100
261
21875
SH
SOLE
0
0
21875
NEW YORK CMNTY BANCORP INC
COM
649445103
207
22680
SH
SOLE
0
0
22680
NEWBURY STREET ACQUISITN COR
COM
65101L104
244
25000
SH
SOLE
0
0
25000
NEXTERA ENERGY INC
COM
65339F101
358
4618
SH
SOLE
0
0
4618
NIKE INC
CL B
654106103
408
4030
SH
SOLE
0
0
4030
NORFOLK SOUTHN CORP
COM
655844108
494
2175
SH
SOLE
0
0
2175
NUCOR CORP
COM
670346105
634
6000
SH
SOLE
0
0
6000
NUVEEN NEW YORK AMT QLT MUNI
COM
670656107
510
46000
SH
SOLE
0
0
46000
NUVEEN NEW YORK QLT MUN INC
COM
67066X107
492
41801
SH
SOLE
0
0
41801
NVIDIA CORPORATION
COM
67066G104
2789
19054
SH
SOLE
0
0
19054
ONEOK INC NEW
COM
682680103
788
14199
SH
SOLE
0
0
14199
ORACLE CORP
COM
68389X105
1378
19460
SH
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0
0
19460
OUSTER INC
COM
68989M103
16
10000
SH
SOLE
0
0
10000
OYSTER ENTERPRISES ACQ CORP
COM CL A
69242M104
343
35000
SH
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0
0
35000
P3 HEALTH PARTNERS INC
COM CL A
744413105
465
122998
SH
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0
0
122998
PAGAYA TECHNOLOGIES LTD
CL A SHS
M7S64L115
81
20001
SH
SOLE
0
0
20001
PALANTIR TECHNOLOGIES INC
CL A
69608A108
601
66176
SH
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0
0
66176
PAYPAL HLDGS INC
COM
70450Y103
575
8070
SH
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0
0
8070
PEPSICO INC
COM
713448108
645
3815
SH
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0
0
3815
PFIZER INC
COM
717081103
758
14471
SH
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0
0
14471
PHILIP MORRIS INTL INC
COM
718172109
1739
17463
SH
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0
0
17463
PIMCO ETF TR
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72201R833
573
5780
SH
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0
0
5780
PMV CONSUMER ACQUISITION COR
COM
693486102
496
50000
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0
0
50000
PNC FINL SVCS GROUP INC
COM
693475105
593
3676
SH
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0
0
3676
PRA GROUP INC
COM
69354N106
500
13421
SH
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0
0
13421
PRECIGEN INC
COM
74017N105
121
90000
SH
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0
0
90000
PROCTER AND GAMBLE CO
COM
742718109
1331
9170
SH
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0
0
9170
PROGRESS ACQUISITION CORP
COM CL A
74327P105
311
31500
SH
SOLE
0
0
31500
PRUDENTIAL FINL INC
COM
744320102
244
2548
SH
SOLE
0
0
2548
PURECYCLE TECHNOLOGIES INC
COM
74623V103
1070
152694
SH
SOLE
0
0
152694
PUTNAM PREMIER INCOME TR
SH BEN INT
746853100
564
148490
SH
SOLE
0
0
148490
QUALTEK SERVICES INC
*W EXP 02/14/202
74760R113
34
210050
SH
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0
0
210050
QUALTEK SERVICES INC
CLASS A COM
74760R303
89
60000
SH
SOLE
0
0
60000
RAYTHEON TECHNOLOGIES CORP
COM
75513E101
925
9545
SH
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0
0
9545
REMARK HLDGS INC
COM
75955K102
29
65000
SH
SOLE
0
0
65000
RESERVOIR MEDIA INC
*W EXP 08/26/202
76119X113
298
261900
SH
SOLE
0
0
261900
RESERVOIR MEDIA INC
COM
76119X105
6307
967327
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0
0
967327
RESMED INC
COM
761152107
992
4600
SH
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0
0
4600
RESTAURANT BRANDS INTL INC
COM
76131D103
529
10250
SH
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0
0
10250
ROCKET LAB USA INC
COM
773122106
89
23500
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0
0
23500
ROCKET PHARMACEUTICALS INC
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77313F106
400
27709
SH
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0
0
27709
ROTH CH ACQUISITION IV CO
UNIT 07/01/2026
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8142
808518
SH
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0
0
808518
ROTH CH ACQUISITION V CO
UNIT 12/10/2026
77867R209
9859
1000910
SH
SOLE
0
0
1000910
SALESFORCE INC
COM
79466L302
968
5761
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0
0
5761
SCHWAB CHARLES CORP
COM
808513105
256
4000
SH
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0
0
4000
SEABOARD CORP DEL
COM
811543107
971
250
SH
SOLE
0
0
250
SEAGATE TECHNOLOGY HLDNGS PL
ORD SHS
G7997R103
357
5000
SH
SOLE
0
0
5000
SELECT SECTOR SPDR TR
COMMUNICATION
81369Y852
271
5000
SH
SOLE
0
0
5000
SERA PROGNOSTICS INC
CLASS A COM
81749D107
1989
1212823
SH
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0
0
1212823
SERVICE CORP INTL
COM
817565104
553
8000
SH
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0
0
8000
SERVICENOW INC
COM
81762P102
339
700
SH
SOLE
0
0
700
SHARPS COMPLIANCE CORP
COM
820017101
987
338053
SH
SOLE
0
0
338053
SILVER CREST ACQUISITION COR
CL A SHS
G81355102
197
20000
SH
SOLE
0
0
20000
SOUTHWESTERN ENERGY CO
COM
845467109
631
101008
SH
SOLE
0
0
101008
SPDR S&P 500 ETF TR
TR UNIT
78462F103
272
720
SH
SOLE
0
0
720
SPDR S&P MIDCAP 400 ETF TR
UTSER1 S&PDCRP
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537
1300
SH
SOLE
0
0
1300
SPDR SER TR
S&P OILGAS EXP
78468R556
239
2000
SH
SOLE
0
0
2000
SPRINGWORKS THERAPEUTICS INC
COM
85205L107
297
11200
SH
SOLE
0
0
11200
STARBUCKS CORP
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855244109
434
5498
SH
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0
0
5498
STRYKER CORPORATION
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863667101
462
2266
SH
SOLE
0
0
2266
SUMO LOGIC INC
COM
86646P103
3767
491141
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0
0
491141
TAKE-TWO INTERACTIVE SOFTWAR
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874054109
607
4860
SH
SOLE
0
0
4860
TARGA RES CORP
COM
87612G101
587
9840
SH
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0
0
9840
TARGET CORP
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87612E106
513
3606
SH
SOLE
0
0
3606
TELA BIO INC
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872381108
674
96168
SH
SOLE
0
0
96168
TELADOC HEALTH INC
COM
87918A105
415
12315
SH
SOLE
0
0
12315
TEXAS INSTRS INC
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882508104
920
6167
SH
SOLE
0
0
6167
TFF PHARMACEUTICALS INC
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87241J104
120
20826
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SOLE
0
0
20826
THERMO FISHER SCIENTIFIC INC
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883556102
932
1700
SH
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0
0
1700
TRACTOR SUPPLY CO
COM
892356106
267
1375
SH
SOLE
0
0
1375
TRANSOCEAN LTD
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H8817H100
1482
445000
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0
0
445000
TWILIO INC
CL A
90138F102
221
2600
SH
SOLE
0
0
2600
TWITTER INC
COM
90184L102
753
19700
SH
SOLE
0
0
19700
TYLER TECHNOLOGIES INC
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902252105
332
1000
SH
SOLE
0
0
1000
UNDER ARMOUR INC
CL C
904311206
76
10000
SH
SOLE
0
0
10000
UNION PAC CORP
COM
907818108
452
2100
SH
SOLE
0
0
2100
UNIQURE NV
SHS
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1306
68070
SH
SOLE
0
0
68070
UNITED PARCEL SERVICE INC
CL B
911312106
268
1470
SH
SOLE
0
0
1470
UNITEDHEALTH GROUP INC
COM
91324P102
724
1400
SH
SOLE
0
0
1400
UNIVERSAL HLTH SVCS INC
CL B
913903100
306
2890
SH
SOLE
0
0
2890
US BANCORP DEL
COM NEW
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361
7760
SH
SOLE
0
0
7760
VANGUARD SCOTTSDALE FDS
SHORT TERM TREAS
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328
5567
SH
SOLE
0
0
5567
VANGUARD WORLD FDS
INF TECH ETF
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338
1035
SH
SOLE
0
0
1035
VERIZON COMMUNICATIONS INC
COM
92343V104
1310
25644
SH
SOLE
0
0
25644
VISA INC
COM CL A
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1802
9090
SH
SOLE
0
0
9090
VISTRA CORP
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92840M102
298
13040
SH
SOLE
0
0
13040
VROOM INC
COM
92918V109
346
277000
SH
SOLE
0
0
277000
VY GLOBAL GROWTH
COM CL A
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22766
2303696
SH
SOLE
0
0
2303696
WAITR HLDGS INC
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6
40000
SH
SOLE
0
0
40000
WALGREENS BOOTS ALLIANCE INC
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2224
58248
SH
SOLE
0
0
58248
WALMART INC
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633
5208
SH
SOLE
0
0
5208
WARNER BROS DISCOVERY INC
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232
16682
SH
SOLE
0
0
16682
WASHINGTON TR BANCORP INC
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236
4885
SH
SOLE
0
0
4885
WASTE MGMT INC DEL
COM
94106L109
924
6042
SH
SOLE
0
0
6042
WORKDAY INC
CL A
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747
5250
SH
SOLE
0
0
5250
XENON PHARMACEUTICALS INC
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754
24500
SH
SOLE
0
0
24500
YELLOW CORP
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985510106
44
15000
SH
SOLE
0
0
15000
ZEBRA TECHNOLOGIES CORPORATI
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801
2677
SH
SOLE
0
0
2677
ZOOM VIDEO COMMUNICATIONS IN
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322
2900
SH
SOLE
0
0
2900