Dark
Light
System
Security
Fidus Investment Corp
Fidus Investment Corp. Institutional holdings reported to the SEC.

Institutional Holders (2015Q1)
Portfolio Summary: 46 Institutional holders with a total value of $65,709,052.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 103,973 15,980,000 24.32%
2 RAYMOND JAMES & ASSOCIATES 717,234 11,024,000 16.78%
3 Yorktown Management & Research Co Inc 514,405 7,906,000 12.03%
4 Advisors Asset Management, Inc. 481,404 7,399,000 11.26%
5 UBS Group AG 310,368 4,771,000 7.26%
6 StepStone Group LP 260,105 3,997,000 6.08%
7 BUCKHEAD CAPITAL MANAGEMENT LLC 171,867 2,642,000 4.02%
8 GUGGENHEIM CAPITAL LLC 117,026 1,799,000 2.74%
9 BlackRock Group LTD 84,433 1,298,000 1.98%
10 Muzinich & Co., Inc. 68,013 1,045,000 1.59%
11 VSR Financial Services, Inc. 60,638 932,000 1.42%
12 MORGAN STANLEY 58,118 893,000 1.36%
13 D. E. Shaw & Co., Inc. 43,626 671,000 1.02%
14 Robert W. Baird & Co. Inc 37,516 577,000 0.88%
15 West Family Investments, Inc. 34,728 534,000 0.81%
16 DIALECTIC CAPITAL MANAGEMENT, LP 33,000 508,000 0.77%
17 Bison Wealth, LLC 27,488 422,000 0.64%
18 RAYMOND JAMES TRUST N.A. 22,240 342,000 0.52%
19 STATE STREET CORP 19,500 300,000 0.46%
20 MILLENNIUM MANAGEMENT LLC 17,458 268,000 0.41%
21 SUSQUEHANNA INTERNATIONAL GROUP, LLP 17,244 265,000 0.40%
22 Kingfisher Capital LLC 13,570 209,000 0.32%
23 PDT Partners, LLC 13,101 201,000 0.31%
24 Bragg Financial Advisors, Inc 13,011 200,000 0.30%
25 GOLDMAN SACHS GROUP INC 11,960 184,000 0.28%
26 CIBC WORLD MARKET INC. 11,435 176,000 0.27%
27 BROWN BROTHERS HARRIMAN & CO 11,286 173,000 0.26%
28 Commonwealth Equity Services, Inc 11,082 170,000 0.26%
29 Spot Trading L.L.C 10,400 160,000 0.24% Call
30 HighTower Advisors, LLC 10,000 154,000 0.23%
31 WELLS FARGO & COMPANY/MN 7,528 116,000 0.18%
32 Carroll Financial Associates, Inc. 5,460 84,000 0.13%
33 First Personal Financial Services 5,362 83,000 0.13%
34 ROYAL BANK OF CANADA 4,614 71,000 0.11%
35 BANK OF AMERICA CORP /DE/ 2,109 32,000 0.05%
36 Tower Research Capital LLC (TRC) 1,535 24,000 0.04%
37 PANAGORA ASSET MANAGEMENT INC 1,380 21,000 0.03%
38 PineBridge Investments, L.P. 1,110 17,000 0.03%
39 Invesco Ltd. 820 13,000 0.02%
40 OPTIMUM INVESTMENT ADVISORS 800 12,000 0.02%
41 AMERICAN INTERNATIONAL GROUP, INC. 654 10,052 0.02%
42 THRIVENT FINANCIAL FOR LUTHERANS 476 8,000 0.01%
43 ADVANTAGE INVESTMENT MANAGEMENT, LLC 500 8,000 0.01%
44 HOWE & RUSLING INC 240 4,000 0.01%
45 NEXT Financial Group, Inc 250 3,000 0.00%
46 MANUFACTURERS LIFE INSURANCE COMPANY, THE 209 3,000 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.