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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RVPG
1
Relative Value Partners Group
$22.8M +$59.8K +5,094 +0.3%
SIA
2
Sit Investment Associates
Minnesota
$5.65M +$21.5K +1,828 +0.4%
EP
3
EPIQ Partners
Minnesota
$3.64M -$118K -10,023 -3%
BBPWM
4
Blue Bell Private Wealth Management
Pennsylvania
$3.39M +$458K +39,033 +16%
CL
5
CSS LLC
Illinois
$2.71M +$8.82K +751 +0.3%
RCM
6
Rivernorth Capital Management
Florida
$2.05M -$1.31M -111,992 -39%
SFS
7
Shaker Financial Services
Virginia
$1.73M -$187K -15,897 -10%
AA
8
Ancora Advisors
Ohio
$1.59M -$12.3K -1,047 -0.8%
SC
9
Scotia Capital
Ontario, Canada
$760K +$5.13K +437 +0.7%
Osaic Holdings
10
Osaic Holdings
Arizona
$661K +$72.6K +6,187 +12%
PAG
11
Private Advisor Group
New Jersey
$612K
Morgan Stanley
12
Morgan Stanley
New York
$466K -$1.06K -90 -0.2%
Wells Fargo
13
Wells Fargo
California
$408K +$29.8K +2,539 +8%
DAS
14
Dynamic Advisor Solutions
Arizona
$253K -$40.1K -3,413 -14%
NL
15
NWAM LLC
Washington
$216K
MAFM
16
Mid Atlantic Financial Management
Pennsylvania
$214K +$19.7K +1,675 +10%
WAM
17
Wolverine Asset Management
Illinois
$148K -$87.6K -7,459 -37%
First Manhattan
18
First Manhattan
New York
$139K +$15.4K +1,309 +13%
UBS Group
19
UBS Group
Switzerland
$101K +$11.9K +1,012 +14%
ASN
20
Advisory Services Network
Georgia
$65K +$64.5K +5,497 New
GWM
21
Geneos Wealth Management
Colorado
$33K
Royal Bank of Canada
22
Royal Bank of Canada
Ontario, Canada
$27K
JFA
23
JNBA Financial Advisors
Minnesota
$12K +$258 +22 +2%
Bank of America
24
Bank of America
North Carolina
$7K
Carson Wealth (CWM LLC)
25
Carson Wealth (CWM LLC)
Nebraska
$6K