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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RVPG
1
Relative Value Partners Group
$28.9M +$615K +46,272 +2%
SIA
2
Sit Investment Associates
Minnesota
$7.95M
SFS
3
Shaker Financial Services
Virginia
$5.34M -$992K -74,646 -16%
RCM
4
Rivernorth Capital Management
Florida
$4.37M -$33.4K -2,510 -0.8%
BBPWM
5
Blue Bell Private Wealth Management
Pennsylvania
$3.43M -$350K -26,344 -9%
CL
6
CSS LLC
Illinois
$3.18M -$13.2K -995 -0.4%
AA
7
Ancora Advisors
Ohio
$1.35M -$88.9K -6,691 -6%
SC
8
Scotia Capital
Ontario, Canada
$731K +$8.82K +664 +1%
PAG
9
Private Advisor Group
New Jersey
$692K +$681K +51,270 New
Geode Capital Management
10
Geode Capital Management
Massachusetts
$539K -$242K -18,196 -31%
LTFS
11
Ladenburg Thalmann Financial Services
Florida
$494K +$43K +3,237 +10%
WPA
12
Winning Points Advisors
Florida
$382K -$4.17K -314 -1%
DAS
13
Dynamic Advisor Solutions
Arizona
$334K +$69.8K +5,255 +27%
NL
14
NWAM LLC
Washington
$247K
Morgan Stanley
15
Morgan Stanley
New York
$242K -$39.6K -2,978 -14%
Wells Fargo
16
Wells Fargo
California
$241K +$13.9K +1,047 +6%
Susquehanna International Group
17
Susquehanna International Group
Pennsylvania
$231K +$225K +16,962 New
First Manhattan
18
First Manhattan
New York
$142K
UBS Group
19
UBS Group
Switzerland
$116K -$30.2K -2,271 -21%
AG
20
Advisor Group
Arizona
$112K +$46K +3,458 +72%
LC
21
Lindbrook Capital
California
$60K
GWM
22
Geneos Wealth Management
Colorado
$38K
Royal Bank of Canada
23
Royal Bank of Canada
Ontario, Canada
$31K
JFA
24
JNBA Financial Advisors
Minnesota
$12K +$199 +15 +2%
Bank of America
25
Bank of America
North Carolina
$8K