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Barings Participation Investors

Name Holding Trade Value Shares
Change
Change in
Stake
Rivernorth Capital Management
1
Rivernorth Capital Management
Florida
$11.6M +$425K +35,248 +4%
GIM
2
Greenwich Investment Management
Connecticut
$4.74M -$69.3K -5,740 -1%
TSP Capital Management Group
3
TSP Capital Management Group
New Jersey
$4.27M +$4.18M +346,271 New
Morgan Stanley
4
Morgan Stanley
New York
$3.77M -$48.2K -3,992 -1%
Barings
5
Barings
North Carolina
$2.83M – – –
Almitas Capital
6
Almitas Capital
California
$2.59M +$954K +79,018 +60%
Osaic Holdings
7
Osaic Holdings
Arizona
$1.97M +$110K +9,076 +6%
Commonwealth Equity Services
8
Commonwealth Equity Services
Massachusetts
$1.84M -$68.1K -5,640 -4%
Wells Fargo
9
Wells Fargo
California
$1.21M -$317K -26,260 -21%
Cetera Advisor Networks
10
Cetera Advisor Networks
California
$1.03M +$181K +15,004 +22%
CFMC
11
Curbstone Financial Management Corp
New Hampshire
$882K – – –
UBS Group
12
UBS Group
Switzerland
$880K -$115K -9,571 -12%
Caldwell Sutter Capital
13
Caldwell Sutter Capital
California
$558K +$546K +45,277 New
Benjamin F. Edwards & Company
14
Benjamin F. Edwards & Company
Missouri
$373K -$75.3K -6,240 -17%
Baird Financial Group
15
Baird Financial Group
Wisconsin
$339K +$332K +27,541 New
Raymond James & Associates
16
Raymond James & Associates
Florida
$330K – – –
Royal Bank of Canada
17
Royal Bank of Canada
Ontario, Canada
$239K +$77.7K +6,436 +50%
Montag & Associates
18
Montag & Associates
Georgia
$155K +$857 +71 +0.6%
Bank of America
19
Bank of America
North Carolina
$81.7K -$206K -17,100 -72%
Spire Wealth Management
20
Spire Wealth Management
Virginia
$76K +$36 +3 +0%
Stonebridge Capital Advisors
21
Stonebridge Capital Advisors
Minnesota
$72.7K – – –
Ulland Investment Advisors
22
Ulland Investment Advisors
Minnesota
$27K – – –
Advisory Services Network
23
Advisory Services Network
Georgia
$15.1K +$14.8K +1,225 New
Kelly Financial Services
24
Kelly Financial Services
Massachusetts
$6.16K – – –
Janney Montgomery Scott
25
Janney Montgomery Scott
Pennsylvania
– -$179K -15,771 Closed