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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RVPG
1
Relative Value Partners Group
$26.3M -$40.9K -3,294 -0.2%
SIA
2
Sit Investment Associates
Minnesota
$7.99M -$1.88K -151 -0%
SFS
3
Shaker Financial Services
Virginia
$5.24M -$477K -38,443 -9%
BBPWM
4
Blue Bell Private Wealth Management
Pennsylvania
$3.76M +$246K +19,829 +7%
RCM
5
Rivernorth Capital Management
Florida
$3.68M +$1.16M +93,766 +49%
CL
6
CSS LLC
Illinois
$3.01M +$14.3K +1,152 +0.5%
AA
7
Ancora Advisors
Ohio
$1.32M -$22.4K -1,800 -2%
Geode Capital Management
8
Geode Capital Management
Massachusetts
$650K +$630K +50,732 New
SC
9
Scotia Capital
Ontario, Canada
$467K +$104K +8,413 +30%
WPA
10
Winning Points Advisors
Florida
$461K -$10.4K -838 -2%
LTFS
11
Ladenburg Thalmann Financial Services
Florida
$410K +$5.2K +419 +1%
Morgan Stanley
12
Morgan Stanley
New York
$252K +$4.27K +344 +2%
NL
13
NWAM LLC
Washington
$233K
Wells Fargo
14
Wells Fargo
California
$221K -$8.14K -656 -4%
Susquehanna International Group
15
Susquehanna International Group
Pennsylvania
$146K +$142K +11,415 New
CA
16
Calton & Associates
Florida
$144K +$139K +11,197 New
First Manhattan
17
First Manhattan
New York
$134K
UBS Group
18
UBS Group
Switzerland
$110K -$59.6K -4,800 -36%
AG
19
Advisor Group
Arizona
$54K
GWM
20
Geneos Wealth Management
Colorado
$36K -$7.19K -579 -17%
Royal Bank of Canada
21
Royal Bank of Canada
Ontario, Canada
$29K -$4.28K -345 -13%
WAM
22
Wolverine Asset Management
Illinois
$23K +$22.4K +1,800 New
LC
23
Lindbrook Capital
California
$16K +$15.6K +1,256 New
JFA
24
JNBA Financial Advisors
Minnesota
$11K
Bank of America
25
Bank of America
North Carolina
$7K