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Great Elm Capital Corp

Name Holding Trade Value Shares
Change
Change in
Stake
NRCM
1
Northern Right Capital Management
Connecticut
$8M
CCA
2
Cruiser Capital Advisors
Connecticut
$1.43M
Marshall Wace
3
Marshall Wace
United Kingdom
$680K +$752K +67,860 New
Wells Fargo
4
Wells Fargo
California
$341K +$377K +34,025 +3,402,500%
Squarepoint
5
Squarepoint
New York
$306K +$338K +30,491 New
EFG
6
Ethos Financial Group
Pennsylvania
$264K
CAG
7
Crestwood Advisors Group
Massachusetts
$245K +$132K +11,956 +96%
HF
8
HRT Financial
New York
$226K +$250K +22,604 New
PWAM
9
Papamarkou Wellner Asset Management
New York
$195K
SSA
10
Schonfeld Strategic Advisors
New York
$169K +$187K +16,900 New
VF
11
Virtu Financial
New York
$160K +$177K +16,008 New
Morgan Stanley
12
Morgan Stanley
New York
$145K +$123K +11,067 +322%
KPWS
13
Kestra Private Wealth Services
Texas
$145K +$161K +14,491 New
Northern Trust
14
Northern Trust
Illinois
$119K -$46.1K -4,164 -26%
CSC
15
Cove Street Capital
California
$61.1K
TCOT
16
Trust Company of Toledo
Ohio
$38.8K
Royal Bank of Canada
17
Royal Bank of Canada
Ontario, Canada
$35K +$4.92K +444 +15%
AF
18
Allworth Financial
California
$14K
UBS Group
19
UBS Group
Switzerland
$11.8K -$48.3K -4,357 -79%
Osaic Holdings
20
Osaic Holdings
Arizona
$8.22K +$6.02K +543 +250%
NA
21
NewEdge Advisors
Louisiana
$4.72K -$2.03K -183 -28%
AAP
22
Arax Advisory Partners
Colorado
$11
Millennium Management
23
Millennium Management
New York
-$171K -16,148 Closed
Citadel Advisors
24
Citadel Advisors
Florida
-$116K -10,907 Closed
FMII
25
Farmers & Merchants Investments Inc
Nebraska
-$5.33K -500 Closed