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Hercules Capital

Name Holding Trade Value Shares
Change
Change in
Stake
GCP
101
GSA Capital Partners
United Kingdom
$274K -$67.9K -4,500 -20%
CAN
102
Cetera Advisor Networks
California
$274K -$3.92K -260 -1%
SG Americas Securities
103
SG Americas Securities
New York
$266K -$32.7K -2,166 -11%
AQR Capital Management
104
AQR Capital Management
Connecticut
$238K
BTS
105
BB&T Securities
Virginia
$214K +$20.8K +1,377 +11%
KCM
106
Kempner Capital Management
Texas
$211K
Ameriprise
107
Ameriprise
Minnesota
$210K +$91 +6 +0%
AG
108
Aperio Group
California
$203K +$206K +13,648 New
PNC Financial Services Group
109
PNC Financial Services Group
Pennsylvania
$194K -$104K -6,910 -35%
M&T Bank
110
M&T Bank
New York
$192K +$16.3K +1,080 +9%
BW
111
Bison Wealth
Georgia
$188K +$191K +12,647 New
TRCT
112
Tower Research Capital (TRC)
New York
$164K -$48.9K -3,243 -23%
OC
113
Oppenheimer & Co
New York
$157K
CIA
114
Capital Impact Advisors
Massachusetts
$153K +$155K +10,259 +102,590%
QIM
115
Quest Investment Management
Oregon
$149K
LTFS
116
Ladenburg Thalmann Financial Services
Florida
$140K -$74.1K -4,911 -34%
NSIM
117
North Star Investment Management
Illinois
$126K
Creative Planning
118
Creative Planning
Kansas
$117K -$188K -12,433 -61%
US Bancorp
119
US Bancorp
Minnesota
$101K -$19.6K -1,300 -16%
HCM
120
Highlander Capital Management
New Jersey
$82K
Lazard Asset Management
121
Lazard Asset Management
New York
$74K
PI
122
PineBridge Investments
New York
$72K +$73.3K +4,858 New
Bank of Montreal
123
Bank of Montreal
Ontario, Canada
$66K
AIM
124
Advantage Investment Management
Iowa
$63K +$63.4K +4,200 New
NPC
125
National Planning Corporation
California
$59.3K +$61.3K +4,060 New