|
1
|
Wells Fargo
San Francisco,
California
|
–
|
-$4.29M
|
-193,334
|
Closed
|
|
|
2
|
Relative Value Partners Group
|
–
|
-$4.45M
|
-192,744
|
Closed
|
|
|
3
|
Bank of America
Charlotte,
North Carolina
|
–
|
-$4.14M
|
-186,984
|
Closed
|
|
|
4
|
Sit Investment Associates
Minneapolis,
Minnesota
|
–
|
-$3.9M
|
-175,975
|
Closed
|
|
|
5
|
Rivernorth Capital Management
West Palm Beach,
Florida
|
–
|
-$2.97M
|
-134,084
|
Closed
|
|
|
6
|
|
–
|
-$1.24M
|
-55,806
|
Closed
|
|
|
7
|
|
–
|
-$773K
|
-34,850
|
Closed
|
|
|
8
|
Bessemer Group
Woodbridge,
New Jersey
|
–
|
-$548K
|
-24,705
|
Closed
|
|
|
9
|
Integrated Wealth Concepts
Waltham,
Massachusetts
|
–
|
-$351K
|
-15,826
|
Closed
|
|
|
10
|
UBS Group
Zurich,
Switzerland
|
–
|
-$280K
|
-12,608
|
Closed
|
|
|
11
|
Magnus Financial Group
New York
|
–
|
-$202K
|
-9,100
|
Closed
|
|
|
12
|
Patriot Financial Group Insurance Agency
Westborough,
Massachusetts
|
–
|
-$168K
|
-7,580
|
Closed
|
|
|
13
|
FNY Investment Advisers
New York
|
–
|
-$126K
|
-5,700
|
Closed
|
|
|
14
|
Ladenburg Thalmann Financial Services
Miami,
Florida
|
–
|
-$63K
|
-2,843
|
Closed
|
|
|
15
|
Advisor Group
Phoenix,
Arizona
|
–
|
-$14K
|
-623
|
Closed
|
|
|
16
|
Pathstone Family Office
Englewood,
New Jersey
|
–
|
-$13K
|
-588
|
Closed
|
|
|
17
|
Royal Bank of Canada
Toronto,
Ontario, Canada
|
–
|
-$12K
|
-540
|
Closed
|
|
|
18
|
Northwestern Mutual Wealth Management
Milwaukee,
Wisconsin
|
–
|
-$12K
|
-529
|
Closed
|
|
|
19
|
American Portfolios Advisors
Holbrook,
New York
|
–
|
-$2.22K
|
-100
|
Closed
|
|
|
20
|
Tower Research Capital (TRC)
New York
|
–
|
-$1K
|
-27
|
Closed
|
|
