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GDL

GDL Fund

Name Holding Trade Value Shares
Change
Change in
Stake
TC
26
TFS Capital
Pennsylvania
$271K +$272K +26,451 New
SG Americas Securities
27
SG Americas Securities
New York
$233K +$234K +22,796 New
WS
28
Wedbush Securities
California
$191K +$5.66K +550 +3%
IC
29
InterOcean Capital
Illinois
$170K -$39.3K -3,825 -19%
RTS
30
Round Table Services
New Jersey
$143K
BBPWM
31
Blue Bell Private Wealth Management
Pennsylvania
$135K -$11.3K -1,100 -8%
UBS Group
32
UBS Group
Switzerland
$127K +$128K +12,428 New
WAM
33
Wolverine Asset Management
Illinois
$125K -$88.8K -8,638 -41%
LPL Financial
34
LPL Financial
California
$117K -$82.2K -7,990 -41%
Stifel Financial
35
Stifel Financial
Missouri
$105K +$106K +10,290 New
TJHA
36
Thomas J. Herzfeld Advisors
Florida
$102K
JAM
37
Jolley Asset Management
North Carolina
$93K
WA
38
WFG Advisors
Texas
$56K
GFM
39
Gramercy Funds Management
Connecticut
$36K
PAM
40
Panagora Asset Management
Massachusetts
$23K +$23.5K +2,283 New
DADC
41
D.A. Davidson & Co
Montana
$17K +$15.4K +1,500 +750%
RC
42
RegentAtlantic Capital
New Jersey
$16.9K +$17K +1,655 New
TCOV
43
Trust Company of Vermont
Vermont
$16K
S
44
SignatureFD
Georgia
$15K
NPC
45
National Planning Corporation
California
$11.7K +$11.9K +1,154 New
BAM
46
Barrett Asset Management
New York
$10K -$39K -3,795 -79%
Citigroup
47
Citigroup
New York
$10K -$6.51K -633 -41%
Royal Bank of Canada
48
Royal Bank of Canada
Ontario, Canada
$7K -$20.4K -1,979 -74%
LTFS
49
Ladenburg Thalmann Financial Services
Florida
$3K -$361K -35,104 -99%