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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RVPG
1
Relative Value Partners Group
$27.7M +$73.2K +5,075 +0.3%
SIA
2
Sit Investment Associates
Minnesota
$6.82M
SFS
3
Shaker Financial Services
Virginia
$6.53M +$1.52M +105,107 +29%
AA
4
Ancora Advisors
Ohio
$4.46M +$299K +20,764 +7%
BBPWM
5
Blue Bell Private Wealth Management
Pennsylvania
$3.86M -$118K -8,159 -3%
CL
6
CSS LLC
Illinois
$2.84M +$67.9K +4,711 +2%
RCM
7
Rivernorth Capital Management
Florida
$1.79M +$363K +25,167 +25%
WPA
8
Winning Points Advisors
Florida
$826K +$1.63K +113 +0.2%
TJHA
9
Thomas J. Herzfeld Advisors
Florida
$819K -$3.32K -230 -0.4%
FIMG
10
Financial & Investment Management Group
Michigan
$705K +$170K +11,759 +31%
Morgan Stanley
11
Morgan Stanley
New York
$407K -$17.7K -1,224 -4%
Wells Fargo
12
Wells Fargo
California
$312K -$30.8K -2,133 -9%
SC
13
Scotia Capital
Ontario, Canada
$273K +$30.3K +2,100 +12%
HK
14
Horizon Kinetics
New York
$272K -$337K -23,344 -55%
LTFS
15
Ladenburg Thalmann Financial Services
Florida
$263K +$72K +4,989 +36%
NL
16
NWAM LLC
Washington
$256K
Walleye Trading
17
Walleye Trading
New York
$217K
UBS Group
18
UBS Group
Switzerland
$193K +$56.4K +3,908 +40%
LCM
19
Laurion Capital Management
New York
$176K -$576K -39,940 -76%
First Manhattan
20
First Manhattan
New York
$147K
CIBC Private Wealth Group
21
CIBC Private Wealth Group
Georgia
$83K
AG
22
Advisor Group
Arizona
$63K -$8.51K -590 -12%
GWM
23
Geneos Wealth Management
Colorado
$48K
Royal Bank of Canada
24
Royal Bank of Canada
Ontario, Canada
$42K
CPIG
25
Chicago Partners Investment Group
Illinois
$29K