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Fidus Investment

Name Holding Trade Value Shares
Change
Change in
Stake
Commonwealth Equity Services
26
Commonwealth Equity Services
Massachusetts
$165K +$5.27K +377 +3%
Citigroup
27
Citigroup
New York
$127K -$9.81K -702 -7%
BBHC
28
Brown Brothers Harriman & Co
New York
$113K
Royal Bank of Canada
29
Royal Bank of Canada
Ontario, Canada
$112K +$57.3K +4,101 +100%
MFW
30
Mosaic Family Wealth
Missouri
$98K +$100K +7,177 New
CFA
31
Carroll Financial Associates
North Carolina
$74K
TRCT
32
Tower Research Capital (TRC)
New York
$47K +$22.1K +1,584 +87%
Deutsche Bank
33
Deutsche Bank
Germany
$47K +$47.3K +3,387 +4,234%
AIG
34
American International Group
New York
$27K +$21.2K +1,516 +349%
PAM
35
Panagora Asset Management
Massachusetts
$19K
Wells Fargo
36
Wells Fargo
California
$17K +$14 +1 +0.1%
PI
37
PineBridge Investments
New York
$16K +$475 +34 +3%
Bank of America
38
Bank of America
North Carolina
$14K -$37.7K -2,700 -73%
FPFS
39
First Personal Financial Services
North Carolina
$7K -$48.6K -3,480 -87%
IA
40
IFP Advisors
Florida
$7K +$7.52K +538 New
HR
41
Howe & Rusling
New York
$3K
PCM
42
Penserra Capital Management
California
$3K +$2.56K +183 New
WAM
43
Wealthspire Advisors (Maryland)
Maryland
$2K +$2.1K +150 New
NCM
44
Novare Capital Management
North Carolina
-$2.8M -203,324 Closed
Northern Trust
45
Northern Trust
Illinois
-$237K -17,233 Closed
HighTower Advisors
46
HighTower Advisors
Illinois
-$138K -10,000 Closed
US Bancorp
47
US Bancorp
Minnesota
-$56K -4,077 Closed
DCM
48
Dialectic Capital Management
Connecticut
-$37K -2,680 Closed
RPG
49
Risk Paradigm Group
Texas
-$7.58K -550 Closed
Thrivent Financial for Lutherans
50
Thrivent Financial for Lutherans
Minnesota
-$7K -476 Closed