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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
$26M -$3.53M -261,862 -12%
Sit Investment Associates
2
Sit Investment Associates
Minnesota
$5.13M -$1.16M -86,192 -18%
Ancora Advisors
3
Ancora Advisors
Ohio
$4.01M -$620K -46,049 -13%
Rivernorth Capital Management
4
Rivernorth Capital Management
Florida
$3.09M +$35.1K +2,603 +1%
Blue Bell Private Wealth Management
5
Blue Bell Private Wealth Management
Pennsylvania
$3.07M -$653K -48,501 -17%
CL
6
CSS LLC
Illinois
$2.58M -$510K -37,847 -16%
Horizon Kinetics
7
Horizon Kinetics
New York
$1.11M -$207K -15,353 -15%
Thomas J. Herzfeld Advisors
8
Thomas J. Herzfeld Advisors
Florida
$970K -$257K -19,060 -20%
Shaker Financial Services
9
Shaker Financial Services
Virginia
$840K -$283K -20,999 -25%
WPA
10
Winning Points Advisors
Florida
$604K +$624K +46,293 New
Morgan Stanley
11
Morgan Stanley
New York
$314K -$116K -8,637 -26%
Wells Fargo
12
Wells Fargo
California
$292K -$71.6K -5,316 -19%
NWAM LLC
13
NWAM LLC
Washington
$237K +$245K +18,182 New
Ladenburg Thalmann Financial Services
14
Ladenburg Thalmann Financial Services
Florida
$235K -$82.3K -6,112 -25%
FIMG
15
Financial & Investment Management Group
Michigan
$189K -$1.36M -101,249 -87%
First Foundation Advisors
16
First Foundation Advisors
California
$187K -$42.4K -3,151 -18%
Bank of America
17
Bank of America
North Carolina
$137K – – –
UBS Group
18
UBS Group
Switzerland
$137K +$9.1K +676 +7%
First Manhattan
19
First Manhattan
New York
$105K -$23.9K -1,776 -18%
IFP Advisors
20
IFP Advisors
Florida
$75K – – –
Royal Bank of Canada
21
Royal Bank of Canada
Ontario, Canada
$51K +$13.4K +994 +34%
Advisor Group
22
Advisor Group
Arizona
$50K +$7.6K +564 +18%
Geneos Wealth Management
23
Geneos Wealth Management
Colorado
$44K -$1.71K -127 -4%
Chicago Partners Investment Group
24
Chicago Partners Investment Group
Illinois
$26K -$5.97K -443 -18%
MSI Financial Services
25
MSI Financial Services
Massachusetts
$20K -$71.1K -5,277 -77%