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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RVPG
1
Relative Value Partners Group
$19.9M -$1.31M -107,883 -5%
RCM
2
Rivernorth Capital Management
Florida
$5.88M -$851K -70,145 -11%
EP
3
EPIQ Partners
Minnesota
$3.71M +$2.44K +201 +0.1%
CL
4
CSS LLC
Illinois
$3.02M
BBPWM
5
Blue Bell Private Wealth Management
Pennsylvania
$2.41M +$113K +9,338 +4%
SC
6
Scotia Capital
Ontario, Canada
$995K +$51.5K +4,249 +5%
TJHA
7
Thomas J. Herzfeld Advisors
Florida
$931K -$1.35M -111,204 -56%
SFS
8
Shaker Financial Services
Virginia
$872K +$998K +82,315 New
Osaic Holdings
9
Osaic Holdings
Arizona
$751K -$29.4K -2,428 -3%
AA
10
Ancora Advisors
Ohio
$687K -$76.1K -6,277 -9%
SC
11
Sarissa Consulting
California
$660K
First Manhattan
12
First Manhattan
New York
$642K +$41.9K +3,455 +6%
Morgan Stanley
13
Morgan Stanley
New York
$619K +$230K +18,986 +48%
RJA
14
Raymond James & Associates
Florida
$374K +$32.8K +2,707 +8%
Wells Fargo
15
Wells Fargo
California
$333K -$6.09K -502 -2%
PAG
16
Private Advisor Group
New Jersey
$286K
CA
17
Calton & Associates
Florida
$230K +$3.64K +300 +1%
TIM
18
Triad Investment Management
California
$215K +$246K +20,323 New
MIM
19
Meixler Investment Management
Arizona
$195K -$14K -1,152 -6%
GC
20
Guggenheim Capital
Illinois
$194K -$715 -59 -0.3%
SPIA
21
Steward Partners Investment Advisory
New York
$180K
HI
22
Harbour Investments
Wisconsin
$166K
NA
23
NewEdge Advisors
Louisiana
$151K +$23.4K +1,933 +16%
DAS
24
Dynamic Advisor Solutions
Arizona
$118K
CAG
25
Csenge Advisory Group
Florida
$117K +$134K +11,050 New