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Fidus Investment Corp
Fidus Investment Corp. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 49 Institutional holders with a total value of $59,098,523.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Advisors Asset Management, Inc. 678,809 11,207,000 18.96%
2 RAYMOND JAMES & ASSOCIATES 585,453 9,666,000 16.36%
3 Yorktown Management & Research Co Inc 514,405 8,493,000 14.37%
4 BB&T SECURITIES, LLC 37,365 6,168,000 10.44%
5 StepStone Group LP 260,105 4,294,000 7.27%
6 UBS AG 229,864 3,795,000 6.42%
7 BUCKHEAD CAPITAL MANAGEMENT LLC 157,437 2,599,000 4.40%
8 REGIONS FINANCIAL CORP 125,893 2,079,000 3.52%
9 GUGGENHEIM CAPITAL LLC 97,446 1,609,000 2.72%
10 BlackRock Group LTD 68,614 1,133,000 1.92%
11 VSR Financial Services, Inc. 62,938 1,039,000 1.76%
12 STATE STREET CORP 60,376 996,000 1.69%
13 MILLENNIUM MANAGEMENT LLC 55,799 921,000 1.56%
14 TWO SIGMA INVESTMENTS, LP 48,307 798,000 1.35%
15 DEERE & CO 26,915 444,000 0.75%
16 TWO SIGMA ADVISERS, LP 26,700 441,000 0.75%
17 Robert W. Baird & Co. Inc 24,929 412,000 0.70% SH
18 Municipal Employees' Retirement System of Michigan 17,400 287,000 0.49%
19 GOLDMAN SACHS GROUP INC 16,411 271,000 0.46%
20 D. E. Shaw & Co., Inc. 15,301 253,000 0.43%
21 OPPENHEIMER & CO INC 14,407 238,000 0.40%
22 RAYMOND JAMES TRUST N.A. 14,195 235,000 0.40%
23 Bragg Financial Advisors, Inc 13,011 215,000 0.36%
24 Kingfisher Capital LLC 13,011 215,000 0.36%
25 BROWN BROTHERS HARRIMAN & CO 11,286 186,000 0.31%
26 JANE STREET GROUP, LLC 11,173 184,000 0.31%
27 Commonwealth Equity Services, Inc 10,473 173,000 0.29%
28 MORGAN STANLEY 10,348 171,000 0.29%
29 HighTower Advisors, LLC 10,284 170,000 0.29%
30 Carroll Financial Associates, Inc. 5,460 92,000 0.16%
31 Creative Planning 4,681 77,000 0.13%
32 WELLS FARGO & COMPANY/MN 4,270 71,000 0.12%
33 BNP PARIBAS FINANCIAL MARKETS 1,437 23,725 0.04%
34 PANAGORA ASSET MANAGEMENT INC 1,380 23,000 0.04%
35 Tower Research Capital LLC (TRC) 1,134 19,000 0.03%
36 BARCLAYS PLC 971 16,000 0.03%
37 OPTIMUM INVESTMENT ADVISORS 800 13,000 0.02%
38 Invesco Ltd. 800 13,000 0.02%
39 MANUFACTURERS LIFE INSURANCE COMPANY, THE 731 12,000 0.02%
40 AMERICAN INTERNATIONAL GROUP, INC. 654 10,798 0.02%
41 LADENBURG THALMANN FINANCIAL SERVICES INC. 518 9,000 0.02%
42 THRIVENT FINANCIAL FOR LUTHERANS 476 8,000 0.01%
43 HOWE & RUSLING INC 240 4,000 0.01%
44 NEXT Financial Group, Inc 250 4,000 0.01%
45 WFG Advisors, LP 225 4,000 0.01%
46 Ground Swell Capital, LLC 200 3,000 0.01%
47 AMERIPRISE FINANCIAL INC 120 2,000 0.00%
48 CITIGROUP INC 143 2,000 0.00%
49 BANK OF AMERICA CORP /DE/ 1 0 0.00%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.