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Prospect Capital

Name Holding Trade Value Shares
Change
Change in
Stake
1IA
201
1834 Investment Advisors
Wisconsin
$6K – – –
AF
202
Allworth Financial
California
$6K – – –
Fifth Third Bancorp
203
Fifth Third Bancorp
Ohio
$6K – – –
FGAM
204
Financial Gravity Asset Management
Texas
$6K +$184 +26 +3%
ICM
205
IMS Capital Management
Oregon
$6K +$5.66K +800 New
CAC
206
Certified Advisory Corp
Florida
$4K – – –
HNB
207
Huntington National Bank
Ohio
$4K – – –
TCOV
208
Trust Company of Vermont
Vermont
$4K – – –
WAS
209
Winch Advisory Services
Wisconsin
$4K – – –
TDC
210
Thompson Davis & Co
Virginia
$4K +$1.77K +250 +100%
PFGIA
211
Patriot Financial Group Insurance Agency
Massachusetts
$4K +$3.54K +500 New
Barclays
212
Barclays
United Kingdom
$2K -$9.19K -1,299 -79%
CB
213
Community Bank
New York
$2K – – –
RFM
214
Royal Fund Management
Florida
$2K – – –
TFS
215
TrustCore Financial Services
Tennessee
$2K +$1.84K +260 New
NSB
216
Norway Savings Bank
Maine
$1K – – –
RIA
217
RPG Investment Advisory
California
$1K – – –
WF
218
WealthTrust Fairport
Ohio
$1K +$7 +1 +1%
S
219
SignatureFD
Georgia
$1K +$707 +100 New
AM
220
Ares Management
California
– -$1.87M -279,288 Closed
PAM
221
PVG Asset Management
Colorado
– -$831K -123,891 Closed
PCM
222
Price Capital Management
Louisiana
– -$696K -103,705 Closed
AWA
223
Arete Wealth Advisors
Illinois
– -$194K -28,980 Closed
Wolverine Trading
224
Wolverine Trading
Illinois
– -$184K -26,071 Closed
KA
225
Kovack Advisors
Florida
– -$145K -21,608 Closed