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Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Relative Value Partners Group
1
Relative Value Partners Group
$32.1M +$1.13M +81,435 +4%
Sit Investment Associates
2
Sit Investment Associates
Minnesota
$6.83M – – –
Ancora Advisors
3
Ancora Advisors
Ohio
$5.03M +$83.3K +6,024 +2%
Blue Bell Private Wealth Management
4
Blue Bell Private Wealth Management
Pennsylvania
$4.05M -$321K -23,212 -8%
CL
5
CSS LLC
Illinois
$3.36M +$193K +13,980 +6%
Rivernorth Capital Management
6
Rivernorth Capital Management
Florida
$3.34M +$750K +54,251 +30%
FIMG
7
Financial & Investment Management Group
Michigan
$1.65M -$454K -32,821 -22%
Horizon Kinetics
8
Horizon Kinetics
New York
$1.43M -$71.7K -5,182 -5%
Thomas J. Herzfeld Advisors
9
Thomas J. Herzfeld Advisors
Florida
$1.33M -$4.05K -293 -0.3%
Hilton Capital Management
10
Hilton Capital Management
New York
$1.22M – – –
Shaker Financial Services
11
Shaker Financial Services
Virginia
$1.22M -$27.2K -1,965 -2%
Morgan Stanley
12
Morgan Stanley
New York
$466K -$714K -51,625 -61%
Wells Fargo
13
Wells Fargo
California
$394K +$44.7K +3,236 +13%
Ladenburg Thalmann Financial Services
14
Ladenburg Thalmann Financial Services
Florida
$343K – – –
Ancora Family Wealth Advisors
15
Ancora Family Wealth Advisors
Ohio
$298K -$73.5K -5,319 -20%
First Foundation Advisors
16
First Foundation Advisors
California
$250K – – –
Bank of America
17
Bank of America
North Carolina
$150K – – –
First Manhattan
18
First Manhattan
New York
$140K – – –
UBS Group
19
UBS Group
Switzerland
$140K +$48.3K +3,493 +55%
MSI Financial Services
20
MSI Financial Services
Massachusetts
$97K -$97.4K -7,042 -51%
IFP Advisors
21
IFP Advisors
Florida
$82K -$4.83K -349 -6%
Geneos Wealth Management
22
Geneos Wealth Management
Colorado
$50K – – –
Advisor Group
23
Advisor Group
Arizona
$46K +$41.6K +3,005 +1,438%
Royal Bank of Canada
24
Royal Bank of Canada
Ontario, Canada
$41K +$1.88K +136 +5%
Chicago Partners Investment Group
25
Chicago Partners Investment Group
Illinois
$35K – – –