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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Kovitz Investment Group Partners
1
Kovitz Investment Group Partners
Illinois
$21.6M +$21.2M +1,639,171 New
RCM
2
Rivernorth Capital Management
Florida
$4.32M -$188K -14,492 -4%
BBPWM
3
Blue Bell Private Wealth Management
Pennsylvania
$3.75M +$141K +10,850 +4%
CL
4
CSS LLC
Illinois
$3.59M
Morgan Stanley
5
Morgan Stanley
New York
$1.81M -$40.3K -3,112 -2%
SC
6
Scotia Capital
Ontario, Canada
$1.18M -$52.3K -4,036 -4%
EP
7
EPIQ Partners
Minnesota
$938K -$267K -20,630 -23%
SFS
8
Shaker Financial Services
Virginia
$885K +$63.9K +4,933 +8%
First Manhattan
9
First Manhattan
New York
$424K
AA
10
Ancora Advisors
Ohio
$410K
RJA
11
Raymond James & Associates
Florida
$402K -$16.7K -1,288 -4%
AGM
12
Alpine Global Management
New York
$348K +$48.5K +3,743 +17%
MC
13
Matisse Capital
Oregon
$317K
Osaic Holdings
14
Osaic Holdings
Arizona
$271K -$32.2K -2,484 -11%
SFS
15
Sowell Financial Services
Arkansas
$242K
PAG
16
Private Advisor Group
New Jersey
$229K
HI
17
Harbour Investments
Wisconsin
$227K
NAS
18
NWF Advisory Services
California
$221K
NS
19
NBC Securities
Alabama
$218K +$1.63K +126 +0.8%
Wells Fargo
20
Wells Fargo
California
$217K +$20.3K +1,570 +11%
NA
21
NewEdge Advisors
Louisiana
$214K +$17.1K +1,317 +9%
LOPW
22
Live Oak Private Wealth
North Carolina
$207K
LCM
23
Landscape Capital Management
New Jersey
$205K +$36.9K +2,851 +23%
PP
24
Patron Partners
Texas
$192K
Commonwealth Equity Services
25
Commonwealth Equity Services
Massachusetts
$192K +$19.6K +1,514 +12%