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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
$27.9M +$313K +20,801 +1%
Sit Investment Associates
2
Sit Investment Associates
Minnesota
$6.88M +$205K +13,614 +3%
Shaker Financial Services
3
Shaker Financial Services
Virginia
$5.1M -$700K -46,575 -11%
Ancora Advisors
4
Ancora Advisors
Ohio
$4.21M -$163K -10,817 -4%
Blue Bell Private Wealth Management
5
Blue Bell Private Wealth Management
Pennsylvania
$4.01M +$318K +21,147 +8%
CL
6
CSS LLC
Illinois
$2.8M – – –
Rivernorth Capital Management
7
Rivernorth Capital Management
Florida
$1.45M +$52.4K +3,486 +4%
WPA
8
Winning Points Advisors
Florida
$839K +$88.2K +5,869 +11%
Thomas J. Herzfeld Advisors
9
Thomas J. Herzfeld Advisors
Florida
$830K -$85.5K -5,690 -9%
Laurion Capital Management
10
Laurion Capital Management
New York
$746K +$333K +22,132 +73%
Horizon Kinetics
11
Horizon Kinetics
New York
$606K -$174K -11,574 -21%
FIMG
12
Financial & Investment Management Group
Michigan
$544K +$202K +13,470 +54%
Morgan Stanley
13
Morgan Stanley
New York
$428K -$60.3K -4,013 -12%
Wells Fargo
14
Wells Fargo
California
$345K +$23.8K +1,586 +7%
NWAM LLC
15
NWAM LLC
Washington
$258K – – –
Scotia Capital
16
Scotia Capital
Ontario, Canada
$245K +$90.8K +6,042 +54%
Walleye Trading
17
Walleye Trading
New York
$219K +$232K +15,436 New
Ladenburg Thalmann Financial Services
18
Ladenburg Thalmann Financial Services
Florida
$195K +$12.7K +848 +7%
First Manhattan
19
First Manhattan
New York
$148K – – –
UBS Group
20
UBS Group
Switzerland
$139K -$24.4K -1,624 -14%
Calton & Associates
21
Calton & Associates
Florida
$96K +$97.1K +6,462 New
CIBC Private Wealth Group
22
CIBC Private Wealth Group
Georgia
$84K +$89.1K +5,927 New
Advisor Group
23
Advisor Group
Arizona
$72K -$1.58K -105 -2%
Geneos Wealth Management
24
Geneos Wealth Management
Colorado
$48K – – –
Royal Bank of Canada
25
Royal Bank of Canada
Ontario, Canada
$42K -$80.5K -5,358 -64%