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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RVPG
1
Relative Value Partners Group
$18.7M -$789K -61,975 -3%
SIA
2
Sit Investment Associates
Minnesota
$4.27M -$1.45M -113,612 -19%
EP
3
EPIQ Partners
Minnesota
$2.98M +$244K +19,209 +6%
RCM
4
Rivernorth Capital Management
Florida
$2.9M +$73.2K +5,755 +2%
AA
5
Ancora Advisors
Ohio
$2.1M +$1.91M +149,825 +183%
CL
6
CSS LLC
Illinois
$2.08M +$3.65K +287 +0.1%
BBPWM
7
Blue Bell Private Wealth Management
Pennsylvania
$1.65M -$519K -40,800 -18%
SFS
8
Shaker Financial Services
Virginia
$1.62M -$344K -27,072 -13%
Morgan Stanley
9
Morgan Stanley
New York
$740K +$782K +61,444 +307%
SC
10
Scotia Capital
Ontario, Canada
$552K +$64.2K +5,047 +9%
PAG
11
Private Advisor Group
New Jersey
$516K +$87.9K +6,909 +14%
Wells Fargo
12
Wells Fargo
California
$367K +$176K +13,847 +52%
Osaic Holdings
13
Osaic Holdings
Arizona
$337K +$1.96M +153,918 New
DAS
14
Dynamic Advisor Solutions
Arizona
$272K +$68.5K +5,382 +22%
WPA
15
Winning Points Advisors
Florida
$134K
MAFM
16
Mid Atlantic Financial Management
Pennsylvania
$120K +$168K +13,190 New
First Manhattan
17
First Manhattan
New York
$95K
UBS Group
18
UBS Group
Switzerland
$89K +$5.01K +394 +4%
LC
19
Lindbrook Capital
California
$83K +$34.6K +2,722 +43%
WAM
20
Wolverine Asset Management
Illinois
$71K +$101K +7,910 New
ASN
21
Advisory Services Network
Georgia
$44K +$61.1K +4,804 New
GWM
22
Geneos Wealth Management
Colorado
$25K
Royal Bank of Canada
23
Royal Bank of Canada
Ontario, Canada
$20K
JFA
24
JNBA Financial Advisors
Minnesota
$9K +$280 +22 +2%
Northwestern Mutual Wealth Management
25
Northwestern Mutual Wealth Management
Wisconsin
$8K +$10.7K +837 New