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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
$29.2M +$3.58K +251 +0%
Sit Investment Associates
2
Sit Investment Associates
Minnesota
$6.64M +$910K +63,771 +16%
Ancora Advisors
3
Ancora Advisors
Ohio
$4.44M -$1.33K -93 -0%
Shaker Financial Services
4
Shaker Financial Services
Virginia
$4.33M +$2.56M +179,511 +152%
Blue Bell Private Wealth Management
5
Blue Bell Private Wealth Management
Pennsylvania
$3.5M +$203K +14,226 +6%
CL
6
CSS LLC
Illinois
$2.88M – – –
Rivernorth Capital Management
7
Rivernorth Capital Management
Florida
$2.8M -$534K -37,441 -16%
Thomas J. Herzfeld Advisors
8
Thomas J. Herzfeld Advisors
Florida
$956K -$122K -8,527 -11%
Horizon Kinetics
9
Horizon Kinetics
New York
$922K -$75.2K -5,270 -8%
WPA
10
Winning Points Advisors
Florida
$778K -$53.1K -3,723 -7%
Morgan Stanley
11
Morgan Stanley
New York
$428K +$6.98K +489 +2%
Wells Fargo
12
Wells Fargo
California
$329K -$6.02K -422 -2%
NWAM LLC
13
NWAM LLC
Washington
$264K – – –
FIMG
14
Financial & Investment Management Group
Michigan
$239K +$29.2K +2,048 +14%
First Foundation Advisors
15
First Foundation Advisors
California
$209K – – –
Ladenburg Thalmann Financial Services
16
Ladenburg Thalmann Financial Services
Florida
$200K -$162K -11,335 -45%
First Manhattan
17
First Manhattan
New York
$152K – – –
UBS Group
18
UBS Group
Switzerland
$152K – – –
Wolverine Asset Management
19
Wolverine Asset Management
Illinois
$127K +$126K +8,799 New
IFP Advisors
20
IFP Advisors
Florida
$83K – – –
Advisor Group
21
Advisor Group
Arizona
$70K +$1.77K +124 +3%
Geneos Wealth Management
22
Geneos Wealth Management
Colorado
$49K – – –
Royal Bank of Canada
23
Royal Bank of Canada
Ontario, Canada
$40K -$31.2K -2,186 -44%
Bank of America
24
Bank of America
North Carolina
$37K +$2.43K +170 +7%
Wealthspire Advisors (Maryland)
25
Wealthspire Advisors (Maryland)
Maryland
$22K – – –