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SPE

Special Opportunities Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Focus Partners Wealth
1
Focus Partners Wealth
Massachusetts
$19.4M +$19.3M +1,323,104 New
BBPWM
2
Blue Bell Private Wealth Management
Pennsylvania
$4.1M -$89.7K -6,133 -2%
SFS
3
Shaker Financial Services
Virginia
$3.95M -$1.76M -120,698 -33%
GC
4
GatePass Capital
Ohio
$1.94M -$129K -8,835 -6%
CL
5
CSS LLC
Illinois
$1.7M -$79.4K -5,428 -4%
AAM
6
Advisors Asset Management
Colorado
$1.67M -$70.3K -4,812 -4%
SMA
7
Seven Mile Advisory
New Jersey
$1.59M -$38.3K -2,622 -2%
SC
8
Scotia Capital
Ontario, Canada
$1.59M -$55.8K -3,819 -3%
RCM
9
Rivernorth Capital Management
Florida
$1.52M -$65.2K -4,463 -4%
Morgan Stanley
10
Morgan Stanley
New York
$1.08M -$156K -10,676 -13%
First Manhattan
11
First Manhattan
New York
$620K +$103K +7,025 +21%
Cetera Investment Advisers
12
Cetera Investment Advisers
Illinois
$558K +$68.5K +4,686 +14%
Raymond James Financial
13
Raymond James Financial
Florida
$487K +$50.3K +3,439 +12%
Envestnet Asset Management
14
Envestnet Asset Management
Illinois
$363K +$29.9K +2,044 +9%
OC
15
Oppenheimer & Co
New York
$305K -$37.2K -2,542 -11%
GC
16
Guggenheim Capital
Illinois
$297K -$21.6K -1,480 -7%
NS
17
NBC Securities
Alabama
$290K +$40.6K +2,779 +16%
AA
18
Ancora Advisors
Ohio
$271K -$12.6K -864 -4%
Osaic Holdings
19
Osaic Holdings
Arizona
$264K -$44.5K -3,041 -14%
SFS
20
Sowell Financial Services
Arkansas
$255K -$11.9K -813 -4%
HI
21
Harbour Investments
Wisconsin
$239K -$11.1K -762 -4%
Commonwealth Equity Services
22
Commonwealth Equity Services
Massachusetts
$233K -$5.21K -356 -2%
TI
23
TrueMark Investments
Illinois
$219K -$4.65K -318 -2%
LOPW
24
Live Oak Private Wealth
North Carolina
$218K -$10.2K -695 -4%
PP
25
Patron Partners
Texas
$203K -$9.46K -647 -4%