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GDL

GDL Fund

Name Holding Trade Value Shares
Change
Change in
Stake
LPL Financial
26
LPL Financial
California
$307K +$106K +10,769 +54%
GFM
27
Gramercy Funds Management
Connecticut
$290K
RVPG
28
Relative Value Partners Group
$275K +$26.9K +2,720 +11%
CAS
29
Cue Advisory Services
Arizona
$249K -$56.3K -5,700 -19%
DA
30
Doliver Advisors
Texas
$236K +$232K +23,485 New
Stifel Financial
31
Stifel Financial
Missouri
$167K +$165K +16,680 New
IC
32
InterOcean Capital
Illinois
$145K
Citigroup
33
Citigroup
New York
$126K +$103K +10,438 +476%
TC
34
TFS Capital
Pennsylvania
$113K +$111K +11,245 New
TJHA
35
Thomas J. Herzfeld Advisors
Florida
$100K
Royal Bank of Canada
36
Royal Bank of Canada
Ontario, Canada
$74K +$13.9K +1,409 +24%
JAM
37
Jolley Asset Management
North Carolina
$68K
UBS Group
38
UBS Group
Switzerland
$62K -$58.3K -5,899 -49%
Northwestern Mutual Wealth Management
39
Northwestern Mutual Wealth Management
Wisconsin
$57K +$56.1K +5,675 New
WA
40
WFG Advisors
Texas
$40K
TCOV
41
Trust Company of Vermont
Vermont
$16K
S
42
SignatureFD
Georgia
$15K
PNC Financial Services Group
43
PNC Financial Services Group
Pennsylvania
$15K +$69 +7 +0.5%
BBPWM
44
Blue Bell Private Wealth Management
Pennsylvania
$14K -$435 -44 -3%
LTFS
45
Ladenburg Thalmann Financial Services
Florida
$5K +$2.04K +206 +65%
TRCT
46
Tower Research Capital (TRC)
New York
$3K +$3.13K +317 New
SCM
47
Summit Capital Management
Washington
-$502K -50,132 Closed
CS
48
Credit Suisse
Switzerland
-$184K -18,414 Closed
IA
49
IFP Advisors
Florida
-$13K -1,250 Closed
AIA
50
Allegis Investment Advisors
Idaho
-$12K -1,198 Closed