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Saratoga Investment

Name Holding Trade Value Shares
Change
Change in
Stake
BDCM
1
Black Diamond Capital Management
Connecticut
$9.44M +$254K +17,563 +3%
RCM
2
Rivernorth Capital Management
Florida
$4.62M +$304K +21,045 +8%
FP
3
Foundry Partners
Minnesota
$1.52M +$66K +4,564 +5%
RVPG
4
Relative Value Partners Group
$1.23M +$42.3K +2,927 +4%
MCA
5
Mendon Capital Advisors
Florida
$852K +$435K +30,100 +124%
CRC
6
Curi RMB Capital
Illinois
$662K +$148K +10,271 +32%
CAS
7
Cue Advisory Services
Arizona
$649K -$8.67K -600 -1%
MCM
8
McKinley Capital Management
Alaska
$613K +$114K +7,862 +25%
JMPWA
9
JP Morgan Private Wealth Advisors
California
$282K +$260K +18,000 New
Ameriprise
10
Ameriprise
Minnesota
$280K +$4.15K +287 +2%
LTFS
11
Ladenburg Thalmann Financial Services
Florida
$265K +$1.99K +138 +0.8%
FTCM
12
First Trust Capital Management
Illinois
$193K +$178K +12,329 New
Morgan Stanley
13
Morgan Stanley
New York
$193K -$53.1K -3,677 -23%
Legal & General Group
14
Legal & General Group
United Kingdom
$179K +$51.3K +3,548 +45%
MFS
15
MSI Financial Services
Massachusetts
$94K
TRCT
16
Tower Research Capital (TRC)
New York
$11K +$9.55K +661 +2,448%
DLHL
17
Donald L. Hagan LLC
Florida
$8K +$7.23K +500 New
Manulife (Manufacturers Life Insurance)
18
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$7K
GWM
19
Geneos Wealth Management
Colorado
$6K +$5.51K +381 New
UBS Group
20
UBS Group
Switzerland
$5K -$15.3K -1,058 -77%
CG
21
Cutler Group
California
$2K -$11.6K -800 -81%
DCM
22
Dialectic Capital Management
Connecticut
-$656K -42,492 Closed
OAM
23
Orinda Asset Management
California
-$287K -18,612 Closed
Citigroup
24
Citigroup
New York
-$51.1K -3,537 -99%
Royal Bank of Canada
25
Royal Bank of Canada
Ontario, Canada
-$169K -342 Closed