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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
$23.1M -$151K -10,391 -0.6%
BBPWM
2
Blue Bell Private Wealth Management
Pennsylvania
$3.69M -$71.4K -4,917 -2%
CL
3
CSS LLC
Illinois
$2.52M -$532K -36,665 -17%
Morgan Stanley
4
Morgan Stanley
New York
$1.76M +$57.1K +3,930 +3%
GC
5
GatePass Capital
Ohio
$1.72M +$530K +36,534 +44%
AAM
6
Advisors Asset Management
Colorado
$1.69M +$1.71M +118,090 New
RCM
7
Rivernorth Capital Management
Florida
$1.55M -$1.5M -103,422 -49%
SC
8
Scotia Capital
Ontario, Canada
$1.49M +$146K +10,031 +11%
SFS
9
Shaker Financial Services
Virginia
$1.16M -$1.23M -84,492 -51%
First Manhattan
10
First Manhattan
New York
$473K +$15.4K +1,058 +3%
Raymond James Financial
11
Raymond James Financial
Florida
$437K -$28.4K -1,956 -6%
OC
12
Oppenheimer & Co
New York
$372K +$30.4K +2,094 +9%
Envestnet Asset Management
13
Envestnet Asset Management
Illinois
$363K +$368K +25,329 New
Osaic Holdings
14
Osaic Holdings
Arizona
$311K -$21.5K -1,482 -6%
Susquehanna International Group
15
Susquehanna International Group
Pennsylvania
$308K +$311K +21,445 New
Cetera Investment Advisers
16
Cetera Investment Advisers
Illinois
$293K +$297K +20,444 New
Truist Financial
17
Truist Financial
North Carolina
$289K -$48.4K -3,334 -14%
AA
18
Ancora Advisors
Ohio
$279K -$96.2K -6,628 -25%
SFS
19
Sowell Financial Services
Arkansas
$261K
HI
20
Harbour Investments
Wisconsin
$245K
NS
21
NBC Securities
Alabama
$239K +$242K +16,696 +104,350%
LOPW
22
Live Oak Private Wealth
North Carolina
$223K
NAS
23
NWF Advisory Services
California
$221K +$223K +15,388 New
UBS Group
24
UBS Group
Switzerland
$218K +$122K +8,407 +124%
Wells Fargo
25
Wells Fargo
California
$216K +$7.75K +534 +4%