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

Institutional Holders (2016Q1)
Portfolio Summary: 49 Institutional holders with a total value of $58,229,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 RAYMOND JAMES & ASSOCIATES 634,271 9,838,000 16.90%
2 Raymond James Financial Services Advisors, Inc. 575,799 8,931,000 15.34%
3 Yorktown Management & Research Co Inc 395,000 6,126,000 10.52%
4 Advisors Asset Management, Inc. 312,959 4,854,000 8.34%
5 UBS Group AG 284,515 4,413,000 7.58%
6 StepStone Group LP 260,105 4,034,000 6.93%
7 West Family Investments, Inc. 247,129 3,833,000 6.58%
8 BUCKHEAD CAPITAL MANAGEMENT LLC 226,910 3,519,000 6.04%
9 Muzinich & Co., Inc. 76,006 1,179,000 2.02%
10 BlackRock Group LTD 75,003 1,163,000 2.00%
11 BB&T SECURITIES, LLC 65,189 1,011,000 1.74%
12 MORGAN STANLEY 59,041 917,000 1.57%
13 VSR Financial Services, Inc. 57,638 894,000 1.54%
14 GUGGENHEIM CAPITAL LLC 49,017 761,000 1.31%
15 TWO SIGMA ADVISERS, LP 40,913 635,000 1.09%
16 Spot Trading L.L.C 36,700 569,000 0.98% Call
17 ADVISORY RESEARCH INC 36,449 565,000 0.97%
18 Sumitomo Mitsui DS Asset Management Company, Ltd 32,701 507,000 0.87%
19 Bison Wealth, LLC 28,968 449,000 0.77%
20 MILLENNIUM MANAGEMENT LLC 27,390 425,000 0.73%
21 OPPENHEIMER & CO INC 26,154 406,000 0.70%
22 TWO SIGMA INVESTMENTS, LP 23,502 365,000 0.63%
23 MCKINLEY CAPITAL MANAGEMENT LLC 21,407 332,000 0.57%
24 D. E. Shaw & Co., Inc. 18,867 293,000 0.50%
25 BAIRD FINANCIAL GROUP, INC. 18,770 291,000 0.50%
26 RAYMOND JAMES TRUST N.A. 17,699 275,000 0.47%
27 Commonwealth Equity Services, Inc 15,868 246,000 0.42%
28 Kingfisher Capital LLC 13,633 211,000 0.36%
29 Bragg Financial Advisors, Inc 13,011 202,000 0.35%
30 Spot Trading L.L.C 12,600 195,000 0.33% Put
31 BROWN BROTHERS HARRIMAN & CO 8,286 129,000 0.22%
32 ROYAL BANK OF CANADA 8,215 127,000 0.22%
33 CITIGROUP INC 7,990 124,000 0.21%
34 MOSAIC FAMILY WEALTH, LLC 7,177 111,000 0.19%
35 BANK OF AMERICA CORP /DE/ 6,400 100,000 0.17%
36 Carroll Financial Associates, Inc. 5,460 84,000 0.14%
37 WELLS FARGO & COMPANY/MN 1,751 27,000 0.05%
38 AMERICAN INTERNATIONAL GROUP, INC. 1,516 24,000 0.04%
39 PANAGORA ASSET MANAGEMENT INC 1,380 21,000 0.04%
40 PineBridge Investments, L.P. 1,231 19,000 0.03%
41 CUTLER GROUP LLC / CA 881 13,000 0.02%
42 Creative Planning 200 3,000 0.01%
43 HOWE & RUSLING INC 215 3,000 0.01%
44 BRONFMAN E.L. ROTHSCHILD, L.P. 154 2,000 0.00%
45 PENSERRA CAPITAL MANAGEMENT LLC 171 2,000 0.00%
46 CUTLER GROUP LLC / CA 1,200 1,000 0.00% Put
47 SIMPLEX TRADING, LLC 22 0 0.00%
48 DEUTSCHE BANK AG\ 49 0 0.00%
49 CUTLER GROUP LLC / CA 100 0 0.00% Call

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.