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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RVPG
1
Relative Value Partners Group
$30M -$12.9K -946 -0%
SIA
2
Sit Investment Associates
Minnesota
$8.22M
RCM
3
Rivernorth Capital Management
Florida
$4.42M -$95.1K -6,958 -2%
EP
4
EPIQ Partners
Minnesota
$4.35M +$4.22M +308,962 New
CL
5
CSS LLC
Illinois
$3.22M -$67.6K -4,943 -2%
BBPWM
6
Blue Bell Private Wealth Management
Pennsylvania
$3.14M -$394K -28,861 -11%
SFS
7
Shaker Financial Services
Virginia
$2.9M -$2.55M -186,501 -48%
AA
8
Ancora Advisors
Ohio
$1.15M -$243K -17,753 -18%
SC
9
Scotia Capital
Ontario, Canada
$785K +$28.2K +2,063 +4%
PAG
10
Private Advisor Group
New Jersey
$703K -$17.9K -1,308 -3%
LTFS
11
Ladenburg Thalmann Financial Services
Florida
$541K +$28.6K +2,092 +6%
Wells Fargo
12
Wells Fargo
California
$374K +$121K +8,874 +50%
DAS
13
Dynamic Advisor Solutions
Arizona
$346K
Morgan Stanley
14
Morgan Stanley
New York
$281K +$29.7K +2,173 +12%
NL
15
NWAM LLC
Washington
$256K
Geode Capital Management
16
Geode Capital Management
Massachusetts
$234K -$314K -23,002 -58%
Susquehanna International Group
17
Susquehanna International Group
Pennsylvania
$211K -$26.4K -1,934 -11%
WPA
18
Winning Points Advisors
Florida
$208K -$184K -13,488 -48%
First Manhattan
19
First Manhattan
New York
$147K
UBS Group
20
UBS Group
Switzerland
$132K +$11.9K +873 +10%
AG
21
Advisor Group
Arizona
$110K -$5.71K -418 -5%
LC
22
Lindbrook Capital
California
$90K +$27.2K +1,988 +45%
GWM
23
Geneos Wealth Management
Colorado
$39K
Royal Bank of Canada
24
Royal Bank of Canada
Ontario, Canada
$32K
JFA
25
JNBA Financial Advisors
Minnesota
$13K +$410 +30 +3%