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Saratoga Investment

Name Holding Trade Value Shares
Change
Change in
Stake
NLP
26
Next Level Private
New York
$645K +$638K +21,950 New
DADC
27
D.A. Davidson & Co
Montana
$619K +$116K +4,000 +23%
D.E. Shaw & Co
28
D.E. Shaw & Co
New York
$580K +$574K +19,747 New
Royal Bank of Canada
29
Royal Bank of Canada
Ontario, Canada
$575K +$107K +3,676 +23%
CPIG
30
Chicago Partners Investment Group
Illinois
$567K +$378K +13,010 +161%
Rockefeller Capital Management
31
Rockefeller Capital Management
New York
$492K +$422K +14,501 +646%
BA
32
Bard Associates
Illinois
$461K +$134K +4,610 +42%
PAG
33
Private Advisor Group
New Jersey
$423K
VEA
34
Virtus ETF Advisers
New York
$416K -$70.8K -2,436 -15%
DTC
35
Davidson Trust Company
Washington
$382K
Northern Trust
36
Northern Trust
Illinois
$367K -$2.88K -99 -0.8%
BRWA
37
B. Riley Wealth Advisors
Florida
$356K +$494 +17 +0.1%
ASFA
38
All Season Financial Advisors
Colorado
$332K +$329K +11,301 New
Commonwealth Equity Services
39
Commonwealth Equity Services
Massachusetts
$290K +$2.91K +100 +1%
AIP
40
Ahrens Investment Partners
Louisiana
$285K -$34.9K -1,200 -11%
JMPWA
41
JP Morgan Private Wealth Advisors
California
$264K +$13.8K +475 +6%
JF
42
Jump Financial
Illinois
$259K +$256K +8,800 New
TC
43
TAP Consulting
Missouri
$235K
FAIM
44
Financial Advocates Investment Management
Washington
$212K +$210K +7,206 New
UBS Group
45
UBS Group
Switzerland
$118K +$4.36K +150 +4%
CWS
46
Confluence Wealth Services
Pennsylvania
$88K +$87.3K +3,000 New
GWM
47
Geneos Wealth Management
Colorado
$51K +$40K +1,375 +361%
TWM
48
Tradition Wealth Management
Minnesota
$41K
CFB
49
Cullen/Frost Bankers
Texas
$40K
APA
50
American Portfolios Advisors
New York
$25.9K