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Great Elm Capital Corp

Name Holding Trade Value Shares
Change
Change in
Stake
NRCM
1
Northern Right Capital Management
Connecticut
$2.09M – – –
CCA
2
Cruiser Capital Advisors
Connecticut
$533K -$168K -29,691 -23%
UBS Group
3
UBS Group
Switzerland
$154K +$126K +22,329 +377%
Crestwood Advisors Group
4
Crestwood Advisors Group
Massachusetts
$145K – – –
Vident Advisory
5
Vident Advisory
Georgia
$145K +$150K +26,609 New
Rockefeller Capital Management
6
Rockefeller Capital Management
New York
$136K – – –
EFG
7
Ethos Financial Group
Pennsylvania
$131K -$12.7K -2,250 -9%
SWP
8
Significant Wealth Partners
Illinois
$91.4K +$1.69K +298 +2%
FFA
9
Founders Financial Alliance
North Carolina
$75K +$77.9K +13,770 New
RC
10
Rangeley Capital
Connecticut
$54.5K – – –
TCOT
11
Trust Company of Toledo
Ohio
$21.1K – – –
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$14K – – –
Allworth Financial
13
Allworth Financial
California
$7.63K -$34 -6 -0.4%
Morgan Stanley
14
Morgan Stanley
New York
$7.56K -$204 -36 -3%
Russell Investments Group
15
Russell Investments Group
United Kingdom
$4.06K +$4.21K +744 New
TCM
16
Triumph Capital Management
Colorado
$2.73K – – –
CIAM
17
Caitong International Asset Management
Hong Kong
$240 +$249 +44 New
Wells Fargo
18
Wells Fargo
California
$15 -$4.97K -878 -100%
Arax Advisory Partners
19
Arax Advisory Partners
Colorado
$6 – – –
Squarepoint
20
Squarepoint
New York
– -$325K -64,942 Closed
Curi RMB Capital
21
Curi RMB Capital
Illinois
– -$301K -60,000 Closed
Jane Street
22
Jane Street
New York
– -$207K -41,244 Closed
PWAM
23
Papamarkou Wellner Asset Management
New York
– -$151K -30,200 Closed
TSS
24
Two Sigma Securities
New York
– -$85.5K -17,066 Closed
Northern Trust
25
Northern Trust
Illinois
– -$58.9K -11,765 Closed