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Fidus Investment

Name Holding Trade Value Shares
Change
Change in
Stake
BBHC
26
Brown Brothers Harriman & Co
New York
$168K
Commonwealth Equity Services
27
Commonwealth Equity Services
Massachusetts
$165K +$10.5K +653 +6%
HighTower Advisors
28
HighTower Advisors
Illinois
$153K
CFA
29
Carroll Financial Associates
North Carolina
$149K +$68.7K +4,280 +78%
Wells Fargo
30
Wells Fargo
California
$106K +$46.2K +2,880 +67%
PCM
31
Prelude Capital Management
New York
$92K +$99.6K +6,200 New
FPFS
32
First Personal Financial Services
North Carolina
$79K +$86.1K +5,362 New
LTFS
33
Ladenburg Thalmann Financial Services
Florida
$23K +$16.1K +1,000 +193%
US Bancorp
34
US Bancorp
Minnesota
$22K +$24.1K +1,500 New
TRCT
35
Tower Research Capital (TRC)
New York
$21K +$3.55K +221 +19%
PAM
36
Panagora Asset Management
Massachusetts
$20K
PI
37
PineBridge Investments
New York
$16K +$17.4K +1,085 New
OIA
38
Optimum Investment Advisors
Illinois
$12K
Invesco
39
Invesco
Georgia
$12K +$321 +20 +3%
AIG
40
American International Group
New York
$9.71K
Thrivent Financial for Lutherans
41
Thrivent Financial for Lutherans
Minnesota
$7K
Royal Bank of Canada
42
Royal Bank of Canada
Ontario, Canada
$7K +$8.03K +500 New
HR
43
Howe & Rusling
New York
$4K
NFG
44
Next Financial Group
Texas
$4K
Simplex Trading
45
Simplex Trading
Illinois
$4K +$4.67K +291 New
Manulife (Manufacturers Life Insurance)
46
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$3K -$8.38K -522 -71%
WA
47
WFG Advisors
Texas
$3K
RFC
48
Regions Financial Corp
Alabama
-$2.08M -125,893 Closed
DC
49
Deere & Company
Illinois
-$444K -26,915 Closed
MERSOM
50
Municipal Employees' Retirement System of Michigan
Michigan
-$287K -17,400 Closed