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Fidus Investment

Name Holding Trade Value Shares
Change
Change in
Stake
Commonwealth Equity Services
26
Commonwealth Equity Services
Massachusetts
$169K +$4.67K +288 +3%
HighTower Advisors
27
HighTower Advisors
Illinois
$149K
Citigroup
28
Citigroup
New York
$140K +$153K +9,417 New
BBHC
29
Brown Brothers Harriman & Co
New York
$123K -$48.7K -3,000 -27%
CFA
30
Carroll Financial Associates
North Carolina
$81K
Royal Bank of Canada
31
Royal Bank of Canada
Ontario, Canada
$61K -$8.11K -500 -11%
FPFS
32
First Personal Financial Services
North Carolina
$60K -$22.1K -1,362 -25%
TRCT
33
Tower Research Capital (TRC)
New York
$29K +$6.29K +388 +25%
PAM
34
Panagora Asset Management
Massachusetts
$21K
PI
35
PineBridge Investments
New York
$17K +$438 +27 +2%
Bank of America
36
Bank of America
North Carolina
$15K -$18K -1,109 -53%
AIG
37
American International Group
New York
$9.74K
Thrivent Financial for Lutherans
38
Thrivent Financial for Lutherans
Minnesota
$7K
Fifth Third Bancorp
39
Fifth Third Bancorp
Ohio
$7K +$8.11K +500 New
Deutsche Bank
40
Deutsche Bank
Germany
$5K +$6.49K +400 New
HR
41
Howe & Rusling
New York
$4K
NFG
42
Next Financial Group
Texas
$3K
JG
43
Jefferies Group
New York
$1K +$1.38K +85 New
DCM
44
Dialectic Capital Management
Connecticut
-$508K -33,000 Closed
State Street
45
State Street
Massachusetts
-$300K -19,500 Closed
Millennium Management
46
Millennium Management
New York
-$268K -17,458 Closed
PP
47
PDT Partners
New York
-$201K -13,101 Closed
Goldman Sachs
48
Goldman Sachs
New York
-$184K -11,960 Closed
CIBC World Market
49
CIBC World Market
Ontario, Canada
-$176K -11,435 Closed
Invesco
50
Invesco
Georgia
-$13K -820 Closed