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Carlyle Secured Lending

Name Holding Trade Value Shares
Change
Change in
Stake
Neuberger Berman Group
51
Neuberger Berman Group
New York
$1.02M +$1.12M +81,483 New
Cetera Investment Advisers
52
Cetera Investment Advisers
Illinois
$1.01M +$186K +13,565 +20%
Envestnet Asset Management
53
Envestnet Asset Management
Illinois
$999K +$173K +12,587 +19%
Verition Fund Management
54
Verition Fund Management
Connecticut
$974K +$1.07M +77,947 New
Pathstone Holdings
55
Pathstone Holdings
New Jersey
$971K +$22.4K +1,630 +2%
HighTower Advisors
56
HighTower Advisors
Illinois
$895K +$8.65K +630 +0.9%
VIA
57
Virtus Investment Advisers
Connecticut
$863K +$80.1K +5,836 +9%
Truist Financial
58
Truist Financial
North Carolina
$812K – – –
Osaic Holdings
59
Osaic Holdings
Arizona
$781K +$66.9K +4,871 +9%
PWMA
60
Pension & Wealth Management Advisors
Massachusetts
$777K +$835K +60,828 +4,523%
Quadrature Capital
61
Quadrature Capital
United Kingdom
$645K +$708K +51,610 New
US Bancorp
62
US Bancorp
Minnesota
$625K – – –
GA
63
GFS Advisors
Texas
$621K – – –
Caxton Associates (UK)
64
Caxton Associates (UK)
$600K +$255K +18,581 +63%
D.E. Shaw & Co
65
D.E. Shaw & Co
New York
$600K +$658K +47,963 New
VCA
66
Verdence Capital Advisors
Maryland
$569K +$52.7K +3,840 +10%
IEQ Capital
67
IEQ Capital
California
$562K -$11K -800 -2%
FineMark National Bank & Trust
68
FineMark National Bank & Trust
Florida
$505K – – –
TCM
69
Triumph Capital Management
Colorado
$485K -$151K -11,033 -22%
1WM
70
1858 Wealth Management
Ohio
$479K -$41.2K -3,000 -7%
WA
71
Whipplewood Advisors
Colorado
$476K +$45.1K +3,288 +9%
Janney Montgomery Scott
72
Janney Montgomery Scott
Pennsylvania
$450K +$2.44K +178 +0.5%
Commonwealth Equity Services
73
Commonwealth Equity Services
Massachusetts
$450K +$26.9K +1,959 +6%
F.L. Putnam Investment Management
74
F.L. Putnam Investment Management
Massachusetts
$431K – – –
UAG
75
United Advisor Group
Ohio
$430K +$113K +8,251 +32%