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Hercules Capital

Name Holding Trade Value Shares
Change
Change in
Stake
FAAS
76
First Allied Advisory Services
California
$373K -$98.8K -8,130 -21%
ICAS
77
Investors Capital Advisory Services
Massachusetts
$365K -$38.9K -3,206 -10%
CS
78
Credit Suisse
Switzerland
$365K +$357K +29,388 New
PI
79
PineBridge Investments
New York
$363K +$172K +14,169 +94%
State Street
80
State Street
Massachusetts
$352K
MCM
81
McKinley Capital Management
Alaska
$348K +$114K +9,422 +51%
SI
82
Stephens Inc
Arkansas
$344K +$6.61K +544 +2%
Commonwealth Equity Services
83
Commonwealth Equity Services
Massachusetts
$342K -$29.6K -2,438 -8%
Nuveen Fund Advisors
84
Nuveen Fund Advisors
Illinois
$328K +$320K +26,370 New
LPL Financial
85
LPL Financial
California
$307K -$374K -30,780 -56%
Comerica Bank
86
Comerica Bank
Texas
$297K -$63.5K -5,224 -20%
WP
87
WealthSource Partners
California
$289K +$5.04K +415 +2%
LTFS
88
Ladenburg Thalmann Financial Services
Florida
$256K +$68.7K +5,657 +38%
SFA
89
Sequoia Financial Advisors
Ohio
$244K +$238K +19,629 New
HIM
90
Hillsdale Investment Management
Ontario, Canada
$243K +$238K +19,600 New
TAM
91
Trillium Asset Management
Massachusetts
$242K
WA
92
WealthTrust Axiom
Pennsylvania
$229K
SWP
93
Stratos Wealth Partners
Ohio
$207K
WRM
94
Westport Resources Management
Connecticut
$194K -$67K -5,513 -26%
SG Americas Securities
95
SG Americas Securities
New York
$193K -$1.22K -100 -0.6%
SG
96
Societe Generale
$193K +$189K +15,560 New
WA
97
Wasatch Advisors
Utah
$190K +$185K +15,262 New
Lido Advisors
98
Lido Advisors
California
$189K +$24 +2 +0%
1GA
99
1st Global Advisors
Texas
$185K +$1.31K +108 +0.7%
KCM
100
Kempner Capital Management
Texas
$176K