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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RVPG
1
Relative Value Partners Group
$20.7M -$1.43M -144,112 -7%
SIA
2
Sit Investment Associates
Minnesota
$5.11M +$44.4K +4,468 +0.9%
EP
3
EPIQ Partners
Minnesota
$3.51M -$18.7K -1,884 -0.6%
RCM
4
Rivernorth Capital Management
Florida
$3.07M -$348K -35,006 -11%
BBPWM
5
Blue Bell Private Wealth Management
Pennsylvania
$2.66M +$643K +64,725 +36%
CL
6
CSS LLC
Illinois
$2.45M -$10.4K -1,047 -0.5%
SFS
7
Shaker Financial Services
Virginia
$1.74M -$171K -17,244 -10%
AA
8
Ancora Advisors
Ohio
$1.45M -$962K -96,829 -42%
SC
9
Scotia Capital
Ontario, Canada
$686K +$28.1K +2,831 +5%
PAG
10
Private Advisor Group
New Jersey
$612K
Osaic Holdings
11
Osaic Holdings
Arizona
$535K -$1.04M -104,316 -68%
Morgan Stanley
12
Morgan Stanley
New York
$424K -$418K -42,077 -52%
Wells Fargo
13
Wells Fargo
California
$343K -$85.3K -8,582 -21%
DAS
14
Dynamic Advisor Solutions
Arizona
$266K -$51.8K -5,213 -17%
WAM
15
Wolverine Asset Management
Illinois
$215K +$120K +12,078 +153%
NL
16
NWAM LLC
Washington
$196K +$181K +18,182 New
MAFM
17
Mid Atlantic Financial Management
Pennsylvania
$181K +$36.4K +3,663 +28%
First Manhattan
18
First Manhattan
New York
$112K
LC
19
Lindbrook Capital
California
$101K +$3.12K +314 +3%
UBS Group
20
UBS Group
Switzerland
$81K -$23K -2,317 -24%
GWM
21
Geneos Wealth Management
Colorado
$30K
Royal Bank of Canada
22
Royal Bank of Canada
Ontario, Canada
$24K
JFA
23
JNBA Financial Advisors
Minnesota
$11K +$258 +26 +3%
HFA
24
HC Financial Advisors
California
$7K
Bank of America
25
Bank of America
North Carolina
$6K