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Prospect Capital

Name Holding Trade Value Shares
Change
Change in
Stake
MIS
226
Morningstar Investment Services
Illinois
– -$89K -13,682 Closed
CS
227
Credit Suisse
Switzerland
– -$89.2K -13,476 Closed
HSBC Holdings
228
HSBC Holdings
United Kingdom
– -$86K -13,266 Closed
Prudential Financial
229
Prudential Financial
New Jersey
– -$80K -12,200 Closed
SS
230
Simplicity Solutions
Minnesota
– -$79K -12,180 Closed
BSW
231
Buckingham Strategic Wealth
Missouri
– -$78K -12,000 Closed
AGM
232
Alpine Global Management
New York
– -$78K -11,981 Closed
CIA
233
Capital Investment Advisors
Georgia
– -$74K -11,408 Closed
HF
234
HRT Financial
New York
– -$66K -10,244 Closed
JPLA
235
Joseph P. Lucia & Associates
New York
– -$63.8K -9,685 Closed
Barclays
236
Barclays
United Kingdom
– -$39.9K -6,022 Closed
PGWM
237
Parisi Gray Wealth Management
New Jersey
– -$16K -2,400 Closed
IAA
238
Independent Advisor Alliance
North Carolina
– -$14.4K -2,182 -4%
PI
239
PineBridge Investments
New York
– -$14K -2,164 Closed
SBL
240
Sargent Bickham Lagudis
Colorado
– -$10K -1,500 Closed
LFA
241
Legacy Financial Advisors
Kentucky
– -$8K -1,200 Closed
AF
242
Allworth Financial
California
– -$5K -800 Closed
GWMIA
243
Global Wealth Management Investment Advisory
Florida
– -$1K -100 Closed
Fidelity Investments
244
Fidelity Investments
Massachusetts
– -$26 -4 -67%
AIS
245
Accurate Investment Solutions
Pennsylvania
– +$13 +2 +3%