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GDL

GDL Fund

Name Holding Trade Value Shares
Change
Change in
Stake
OTC
26
Opera Trading Capital
France
$272K
RVPG
27
Relative Value Partners Group
$270K
Citigroup
28
Citigroup
New York
$269K -$201K -20,504 -43%
BI
29
Bulldog Investors
New Jersey
$261K -$20K -2,044 -7%
LTFS
30
Ladenburg Thalmann Financial Services
Florida
$176K +$99.8K +10,197 +133%
RJFSA
31
Raymond James Financial Services Advisors
Florida
$135K +$16.6K +1,700 +14%
LPL Financial
32
LPL Financial
California
$134K -$4.17K -426 -3%
CAS
33
Cue Advisory Services
Arizona
$123K -$128K -13,035 -51%
AWA
34
Arete Wealth Advisors
Illinois
$118K +$117K +11,950 New
Royal Bank of Canada
35
Royal Bank of Canada
Ontario, Canada
$107K +$41.3K +4,222 +63%
UBS Group
36
UBS Group
Switzerland
$106K +$24.4K +2,494 +30%
Geode Capital Management
37
Geode Capital Management
Massachusetts
$101K +$101K +10,342 New
JAM
38
Jolley Asset Management
North Carolina
$67K
BBPWM
39
Blue Bell Private Wealth Management
Pennsylvania
$63K +$42.1K +4,298 +209%
TJHA
40
Thomas J. Herzfeld Advisors
Florida
$49K +$39.1K +4,000 +400%
WA
41
WFG Advisors
Texas
$25K -$14.7K -1,500 -38%
IA
42
IFP Advisors
Florida
$18K
PNC Financial Services Group
43
PNC Financial Services Group
Pennsylvania
$15K
TCOV
44
Trust Company of Vermont
Vermont
$15K
BFEC
45
Benjamin F. Edwards & Company
Missouri
$6K +$5.87K +600 New
VKH
46
Virtu KCG Holdings
New York
-$361K -36,323 Closed
IC
47
InterOcean Capital
Illinois
-$134K -13,450 Closed
Stifel Financial
48
Stifel Financial
Missouri
-$106K -10,512 Closed
Envestnet Asset Management
49
Envestnet Asset Management
Illinois
-$41K -4,121 Closed
Deutsche Bank
50
Deutsche Bank
Germany
-$40K -4,100 Closed