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Japan Smaller Capitalization Fund

Name Holding Trade Value Shares
Change
Change in
Stake
BA
26
Bard Associates
Illinois
$211K -$20K -2,700 -9%
PVWM
27
Point View Wealth Management
New Jersey
$196K – – –
FWM
28
Frontier Wealth Management
Missouri
$165K +$157K +21,123 New
9WM
29
9258 Wealth Management
Ohio
$152K – – –
Guggenheim Capital
30
Guggenheim Capital
Illinois
$141K +$134K +18,059 New
Rockefeller Capital Management
31
Rockefeller Capital Management
New York
$125K +$118K +15,927 New
AllianceBernstein
32
AllianceBernstein
Tennessee
$117K +$111K +14,917 New
SFS
33
Shaker Financial Services
Virginia
$98K +$93K +12,530 New
ICMP
34
Integrated Capital Management (Pennsylvania)
Pennsylvania
$96K +$52 +7 +0.1%
RGC
35
Roberts, Glore & Co
Illinois
$88K – – –
BCA
36
Bay Colony Advisors
Massachusetts
$78K – – –
Royal Bank of Canada
37
Royal Bank of Canada
Ontario, Canada
$62K – – –
UBS Group
38
UBS Group
Switzerland
$30K -$1.83K -246 -6%
Deutsche Bank
39
Deutsche Bank
Germany
$19K +$17.8K +2,400 New
Ancora Advisors
40
Ancora Advisors
Ohio
$12K – – –
Barclays
41
Barclays
United Kingdom
$8K – – –
US Bancorp
42
US Bancorp
Minnesota
$8K – – –
PB
43
Pinnacle Bancorp
Nebraska
$7K – – –
TJHA
44
Thomas J. Herzfeld Advisors
Florida
$2K – – –
Susquehanna International Group
45
Susquehanna International Group
Pennsylvania
– -$226K -32,045 Closed
Geode Capital Management
46
Geode Capital Management
Massachusetts
– -$216K -30,766 Closed
ICM
47
Ionic Capital Management
New York
– -$175K -24,775 Closed
6M
48
6 Meridian
Kansas
– -$89K -12,600 Closed
Washington Trust
49
Washington Trust
Rhode Island
– -$80K -11,348 Closed
TFCP
50
Twin Focus Capital Partners
Massachusetts
– -$78K -11,124 Closed