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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RVPG
1
Relative Value Partners Group
$26.1M +$224K +18,364 +1%
SIA
2
Sit Investment Associates
Minnesota
$6.41M
EP
3
EPIQ Partners
Minnesota
$4.35M +$87.5K +7,171 +2%
BBPWM
4
Blue Bell Private Wealth Management
Pennsylvania
$3.63M -$194K -15,881 -6%
SFS
5
Shaker Financial Services
Virginia
$3.22M +$1.14M +93,801 +64%
CL
6
CSS LLC
Illinois
$2.46M -$558K -45,696 -20%
AA
7
Ancora Advisors
Ohio
$1.79M -$13K -1,068 -0.8%
RCM
8
Rivernorth Capital Management
Florida
$1.11M -$1.1M -90,551 -52%
SC
9
Scotia Capital
Ontario, Canada
$929K +$60.4K +4,951 +8%
Osaic Holdings
10
Osaic Holdings
Arizona
$784K +$31.3K +2,565 +5%
Wells Fargo
11
Wells Fargo
California
$447K -$14.3K -1,169 -3%
Morgan Stanley
12
Morgan Stanley
New York
$441K -$79.1K -6,480 -16%
PAG
13
Private Advisor Group
New Jersey
$428K -$305K -25,019 -44%
LCM
14
Landscape Capital Management
New Jersey
$298K +$270K +22,150 New
DAS
15
Dynamic Advisor Solutions
Arizona
$265K -$19.8K -1,622 -8%
NL
16
NWAM LLC
Washington
$245K
Millennium Management
17
Millennium Management
New York
$163K +$148K +12,091 New
WDG
18
Wealth Dimensions Group
Ohio
$151K +$137K +11,238 New
CA
19
Crewe Advisors
Utah
$98K +$89K +7,296 New
UBS Group
20
UBS Group
Switzerland
$95K -$16.9K -1,385 -16%
First Manhattan
21
First Manhattan
New York
$88K -$63.9K -5,234 -44%
FIA
22
FNY Investment Advisers
New York
$76K +$69.3K +5,683 New
ASN
23
Advisory Services Network
Georgia
$67K -$6.31K -517 -9%
WAM
24
Wolverine Asset Management
Illinois
$51K -$106K -8,694 -69%
GWM
25
Geneos Wealth Management
Colorado
$40K