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Fidus Investment

Name Holding Trade Value Shares
Change
Change in
Stake
Two Sigma Investments
26
Two Sigma Investments
New York
$170K -$250K -17,063 -58%
Commonwealth Equity Services
27
Commonwealth Equity Services
Massachusetts
$161K +$4.6K +314 +3%
HighTower Advisors
28
HighTower Advisors
Illinois
$138K
Citigroup
29
Citigroup
New York
$138K +$8.23K +562 +6%
BBHC
30
Brown Brothers Harriman & Co
New York
$114K
CFA
31
Carroll Financial Associates
North Carolina
$80K
Royal Bank of Canada
32
Royal Bank of Canada
Ontario, Canada
$57K
FPFS
33
First Personal Financial Services
North Carolina
$56K
US Bancorp
34
US Bancorp
Minnesota
$56K +$59.7K +4,077 New
Bank of America
35
Bank of America
North Carolina
$51K +$39.6K +2,700 +270%
DCM
36
Dialectic Capital Management
Connecticut
$37K +$39.3K +2,680 New
TRCT
37
Tower Research Capital (TRC)
New York
$25K -$1.42K -97 -5%
PAM
38
Panagora Asset Management
Massachusetts
$19K
Wells Fargo
39
Wells Fargo
California
$17K -$190K -13,000 -91%
PI
40
PineBridge Investments
New York
$16K +$440 +30 +3%
RPG
41
Risk Paradigm Group
Texas
$7.58K +$8.06K +550 New
Thrivent Financial for Lutherans
42
Thrivent Financial for Lutherans
Minnesota
$7K
AIG
43
American International Group
New York
$6K -$3.22K -220 -34%
WCM
44
Windsor Capital Management
Arizona
$4K +$4.39K +300 New
HR
45
Howe & Rusling
New York
$3K
Deutsche Bank
46
Deutsche Bank
Germany
$1K -$4.69K -320 -80%
Susquehanna International Group
47
Susquehanna International Group
Pennsylvania
-$362K -24,313 Closed
Fifth Third Bancorp
48
Fifth Third Bancorp
Ohio
-$7K -500 Closed
NFG
49
Next Financial Group
Texas
-$3K -250 Closed
JG
50
Jefferies Group
New York
-$1K -85 Closed