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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RVPG
1
Relative Value Partners Group
$28.1M +$290K +21,233 +1%
SIA
2
Sit Investment Associates
Minnesota
$5.49M
AA
3
Ancora Advisors
Ohio
$4.27M -$19.3K -1,411 -0.5%
RCM
4
Rivernorth Capital Management
Florida
$3.21M -$96.8K -7,084 -3%
BBPWM
5
Blue Bell Private Wealth Management
Pennsylvania
$3.17M -$118K -8,635 -4%
CL
6
CSS LLC
Illinois
$2.76M
SFS
7
Shaker Financial Services
Virginia
$1.65M +$738K +54,036 +84%
TJHA
8
Thomas J. Herzfeld Advisors
Florida
$1.04M
HK
9
Horizon Kinetics
New York
$959K -$224K -16,375 -19%
WPA
10
Winning Points Advisors
Florida
$796K +$147K +10,732 +23%
Susquehanna International Group
11
Susquehanna International Group
Pennsylvania
$751K +$735K +53,778 New
Morgan Stanley
12
Morgan Stanley
New York
$404K +$66.8K +4,889 +20%
LTFS
13
Ladenburg Thalmann Financial Services
Florida
$351K +$97.5K +7,139 +40%
Wells Fargo
14
Wells Fargo
California
$322K +$9.36K +685 +3%
NL
15
NWAM LLC
Washington
$254K
FIMG
16
Financial & Investment Management Group
Michigan
$201K -$724 -53 -0.4%
FFA
17
First Foundation Advisors
California
$201K
UBS Group
18
UBS Group
Switzerland
$146K -$27 -2 -0%
First Manhattan
19
First Manhattan
New York
$146K +$32.3K +2,367 +29%
IA
20
IFP Advisors
Florida
$80K
Royal Bank of Canada
21
Royal Bank of Canada
Ontario, Canada
$68K +$14.3K +1,046 +27%
AG
22
Advisor Group
Arizona
$66K +$12.9K +943 +25%
GWM
23
Geneos Wealth Management
Colorado
$47K
Bank of America
24
Bank of America
North Carolina
$33K -$111K -8,105 -77%
CPIG
25
Chicago Partners Investment Group
Illinois
$28K