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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
$28.4M +$106K +7,363 +0.4%
Sit Investment Associates
2
Sit Investment Associates
Minnesota
$8.52M +$1.58M +109,829 +23%
Shaker Financial Services
3
Shaker Financial Services
Virginia
$6.7M +$48.6K +3,381 +0.7%
Ancora Advisors
4
Ancora Advisors
Ohio
$3.89M -$660K -45,919 -14%
Blue Bell Private Wealth Management
5
Blue Bell Private Wealth Management
Pennsylvania
$3.46M -$474K -32,998 -12%
CL
6
CSS LLC
Illinois
$2.96M +$66.2K +4,606 +2%
Rivernorth Capital Management
7
Rivernorth Capital Management
Florida
$1.05M -$775K -53,910 -42%
Walleye Trading
8
Walleye Trading
New York
$852K +$631K +43,913 +284%
WPA
9
Winning Points Advisors
Florida
$849K – – –
Thomas J. Herzfeld Advisors
10
Thomas J. Herzfeld Advisors
Florida
$829K -$5.22K -363 -0.6%
FIMG
11
Financial & Investment Management Group
Michigan
$750K +$31.9K +2,221 +4%
Morgan Stanley
12
Morgan Stanley
New York
$282K -$133K -9,222 -32%
Scotia Capital
13
Scotia Capital
Ontario, Canada
$282K +$14.9K +1,036 +5%
Wells Fargo
14
Wells Fargo
California
$269K -$48.7K -3,388 -15%
Ladenburg Thalmann Financial Services
15
Ladenburg Thalmann Financial Services
Florida
$263K – – –
NWAM LLC
16
NWAM LLC
Washington
$261K – – –
UBS Group
17
UBS Group
Switzerland
$174K -$22.8K -1,588 -12%
First Manhattan
18
First Manhattan
New York
$150K – – –
CIBC Private Wealth Group
19
CIBC Private Wealth Group
Georgia
$85K – – –
Advisor Group
20
Advisor Group
Arizona
$64K – – –
Geneos Wealth Management
21
Geneos Wealth Management
Colorado
$49K – – –
Royal Bank of Canada
22
Royal Bank of Canada
Ontario, Canada
$39K -$3.48K -242 -8%
Chicago Partners Investment Group
23
Chicago Partners Investment Group
Illinois
$29K – – –
JNBA Financial Advisors
24
JNBA Financial Advisors
Minnesota
$11K – – –
Financial Architects (New Jersey)
25
Financial Architects (New Jersey)
New Jersey
$9K – – –