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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
$21.4M -$1.46M -98,438 -6%
SFS
2
Shaker Financial Services
Virginia
$5.5M +$1.37M +92,066 +33%
BBPWM
3
Blue Bell Private Wealth Management
Pennsylvania
$4.22M +$399K +26,907 +10%
GC
4
GatePass Capital
Ohio
$2.08M +$706K +47,524 +51%
CL
5
CSS LLC
Illinois
$1.8M -$35.7K -2,407 -2%
AAM
6
Advisors Asset Management
Colorado
$1.76M -$28K -1,886 -2%
SC
7
Scotia Capital
Ontario, Canada
$1.66M +$19.7K +1,329 +1%
SMA
8
Seven Mile Advisory
New Jersey
$1.64M +$1.65M +111,038 New
RCM
9
Rivernorth Capital Management
Florida
$1.6M -$5.64K -380 -0.4%
Morgan Stanley
10
Morgan Stanley
New York
$1.24M +$143K +9,662 +13%
Cetera Investment Advisers
11
Cetera Investment Advisers
Illinois
$493K +$132K +8,882 +36%
First Manhattan
12
First Manhattan
New York
$488K
Raymond James Financial
13
Raymond James Financial
Florida
$440K -$44.2K -2,975 -9%
OC
14
Oppenheimer & Co
New York
$345K -$54.4K -3,664 -14%
Envestnet Asset Management
15
Envestnet Asset Management
Illinois
$336K -$69.8K -4,701 -17%
GC
16
Guggenheim Capital
Illinois
$321K +$322K +21,683 New
Osaic Holdings
17
Osaic Holdings
Arizona
$315K -$5.8K -391 -2%
AA
18
Ancora Advisors
Ohio
$286K -$48K -3,235 -14%
SFS
19
Sowell Financial Services
Arkansas
$269K
HI
20
Harbour Investments
Wisconsin
$252K
NS
21
NBC Securities
Alabama
$252K +$2.06K +139 +0.8%
Commonwealth Equity Services
22
Commonwealth Equity Services
Massachusetts
$240K +$25.3K +1,707 +12%
LOPW
23
Live Oak Private Wealth
North Carolina
$230K
NAS
24
NWF Advisory Services
California
$228K
TI
25
TrueMark Investments
Illinois
$226K +$226K +15,233 New