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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Focus Partners Wealth
1
Focus Partners Wealth
Massachusetts
$16.8M -$1.26M -90,333 -7%
SFS
2
Shaker Financial Services
Virginia
$8.96M +$4.1M +292,949 +79%
BBPWM
3
Blue Bell Private Wealth Management
Pennsylvania
$4.81M +$868K +62,085 +21%
CL
4
CSS LLC
Illinois
$1.65M +$52.9K +3,780 +3%
SC
5
Scotia Capital
Ontario, Canada
$1.47M -$17.6K -1,259 -1%
AAM
6
Advisors Asset Management
Colorado
$1.43M -$12.9K -919 -0.9%
Morgan Stanley
7
Morgan Stanley
New York
$1.3M +$82.8K +5,922 +7%
GC
8
GatePass Capital
Ohio
$773K -$776K -55,485 -49%
First Manhattan
9
First Manhattan
New York
$596K
OC
10
Oppenheimer & Co
New York
$492K +$211K +15,117 +71%
Raymond James Financial
11
Raymond James Financial
Florida
$459K +$28.2K +2,014 +6%
NS
12
NBC Securities
Alabama
$359K +$140K +10,007 +60%
PCM
13
Permanent Capital Management
Illinois
$298K +$309K +22,114 New
Commonwealth Equity Services
14
Commonwealth Equity Services
Massachusetts
$294K +$78.9K +5,644 +35%
Cetera Investment Advisers
15
Cetera Investment Advisers
Illinois
$275K +$7.99K +571 +3%
GC
16
Guggenheim Capital
Illinois
$275K -$5.02K -359 -2%
Osaic Holdings
17
Osaic Holdings
Arizona
$258K -$1.47K -105 -0.5%
SFS
18
Sowell Financial Services
Arkansas
$242K
RCM
19
Rivernorth Capital Management
Florida
$234K -$905K -64,721 -79%
TI
20
TrueMark Investments
Illinois
$234K +$15.9K +1,140 +7%
LIM
21
Leavell Investment Management
Alabama
$226K +$235K +16,800 New
AA
22
Ancora Advisors
Ohio
$219K -$92.8K -6,637 -29%
Susquehanna International Group
23
Susquehanna International Group
Pennsylvania
$208K +$50.5K +3,614 +31%
LOPW
24
Live Oak Private Wealth
North Carolina
$207K
WAM
25
Wolverine Asset Management
Illinois
$195K -$1.13M -80,793 -85%