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Barings Global Short Duration High Yield Fund

Name Holding Trade Value Shares
Change
Change in
Stake
IWMPD
26
Integrated Wealth Management (Palm Desert)
California
$83K +$83.8K +4,000 New
Royal Bank of Canada
27
Royal Bank of Canada
Ontario, Canada
$64K +$14.2K +678 +29%
PNC Financial Services Group
28
PNC Financial Services Group
Pennsylvania
$46K – – –
GWM
29
Gupta Wealth Management
California
$44K +$44.2K +2,107 New
Ladenburg Thalmann Financial Services
30
Ladenburg Thalmann Financial Services
Florida
$42K +$21K +1,000 +100%
Fifth Third Bancorp
31
Fifth Third Bancorp
Ohio
$42K +$41.9K +2,000 New
Benjamin F. Edwards & Company
32
Benjamin F. Edwards & Company
Missouri
$24K +$15.7K +750 +176%
CFSG
33
Community Financial Services Group
Vermont
$21K – – –
WTB
34
Washington Trust Bank
Washington
$8K – – –
RPG
35
Risk Paradigm Group
Texas
$7.27K +$7.34K +350 New
Tower Research Capital (TRC)
36
Tower Research Capital (TRC)
New York
$4K +$3.58K +171 New
RCM
37
Rivernorth Capital Management
Florida
– -$9.53M -472,079 Closed
SG Americas Securities
38
SG Americas Securities
New York
– -$1.68M -83,375 Closed
MIG
39
Mariner Investment Group
New York
– -$1.13M -55,824 Closed
Wolverine Asset Management
40
Wolverine Asset Management
Illinois
– -$445K -22,062 Closed
Boothbay Fund Management
41
Boothbay Fund Management
New York
– -$388K -19,236 Closed
PIA
42
Peachtree Investment Advisors
Georgia
– -$169K -8,350 Closed
BNP Paribas Financial Markets
43
BNP Paribas Financial Markets
France
– -$116K -5,730 Closed
AllianceBernstein
44
AllianceBernstein
Tennessee
– -$36K -1,790 Closed
EWM
45
Edge Wealth Management
New York
– -$9K -430 Closed
Creative Planning
46
Creative Planning
Kansas
– -$4K -200 Closed
Managed Account Advisors
47
Managed Account Advisors
New Jersey
– +$126 +6 New