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FIDUS INVT CORPORATION
FIDUS INVT CORPORATION. Institutional holdings reported to the SEC.

Institutional Holders (2017Q2)
Portfolio Summary: 72 Institutional holders with a total value of $127,453,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ACROSPIRE INVESTMENT MANAGEMENT LLC 61 1,000 0.00%
2 BRONFMAN E.L. ROTHSCHILD, L.P. 186 3,000 0.00%
3 SIMPLEX TRADING, LLC 200 3,000 0.00%
4 HOWE & RUSLING INC 150 3,000 0.00%
5 PENSERRA CAPITAL MANAGEMENT LLC 345 5,000 0.00%
6 Creative Planning 400 7,000 0.01%
7 MANUFACTURERS LIFE INSURANCE COMPANY, THE 588 10,000 0.01%
8 STERLING INVESTMENT ADVISORS, LTD. 1,000 17,000 0.01%
9 BARCLAYS PLC 1,000 17,000 0.01%
10 PANAGORA ASSET MANAGEMENT INC 1,380 23,000 0.02%
11 Baystate Wealth Management LLC 1,500 25,000 0.02%
12 BANK OF AMERICA CORP /DE/ 1,600 27,000 0.02%
13 DEUTSCHE BANK AG\ 2,400 40,000 0.03%
14 CITIGROUP INC 2,500 42,000 0.03%
15 CLEARSTEAD TRUST, LLC 3,025 51,000 0.04%
16 WELLS FARGO & COMPANY/MN 3,252 54,000 0.04%
17 STEWARD PARTNERS INVESTMENT ADVISORY, LLC 3,443 57,000 0.04%
18 ADVISOR GROUP, INC. 3,756 63,000 0.05%
19 Carroll Financial Associates, Inc. 5,960 100,000 0.08%
20 D.A. DAVIDSON & CO. 6,615 111,000 0.09%
21 MOSAIC FAMILY WEALTH, LLC 7,177 121,000 0.09%
22 US BANCORP \DE\ 8,200 138,000 0.11%
23 ROYAL BANK OF CANADA 9,618 162,000 0.13%
24 MML INVESTORS SERVICES, INC. 10,030 169,000 0.13%
25 CIBC WORLD MARKET INC. 10,542 177,000 0.14%
26 BAIRD FINANCIAL GROUP, INC. 11,103 187,000 0.15%
27 CRESCENT GROVE ADVISORS, LLC 11,277 190,000 0.15%
28 STIFEL FINANCIAL CORP 11,600 196,000 0.15%
29 CAMG SOLAMERE MANAGEMENT, LLC 11,732 197,000 0.15%
30 BROWN BROTHERS HARRIMAN & CO 11,828 199,000 0.16%
31 WOLVERINE TRADING LP /BD 12,000 203,000 0.16% Call
32 Kingfisher Capital LLC 13,011 219,000 0.17%
33 Bragg Financial Advisors, Inc 13,011 219,000 0.17%
34 TWO SIGMA SECURITIES, LLC 13,367 225,000 0.18%
35 Commonwealth Equity Services, Inc 14,827 249,000 0.20%
36 Bison Wealth, LLC 15,185 255,000 0.20%
37 LADENBURG THALMANN FINANCIAL SERVICES INC. 15,790 266,000 0.21%
38 First Allied Advisory Services, Inc. 19,155 323,000 0.25%
39 SALZHAUER MICHAEL 20,600 346,000 0.27%
40 Moors & Cabot, Inc. 20,800 349,000 0.27%
41 RAYMOND JAMES TRUST N.A. 26,689 449,000 0.35%
42 OPPENHEIMER & CO INC 27,541 463,000 0.36%
43 MACKENZIE FINANCIAL CORP 31,381 528,000 0.41%
44 SUSQUEHANNA INTERNATIONAL GROUP, LLP 32,531 547,000 0.43%
45 OPTIMUM INVESTMENT ADVISORS 40,482 681,000 0.53%
46 SALEM INVESTMENT COUNSELORS INC 43,000 723,000 0.57%
47 NUVEEN ASSET MANAGEMENT INC. 51,199 859,000 0.67%
48 Ativo Capital Management LLC 59,016 993,000 0.78%
49 SUSQUEHANNA INTERNATIONAL GROUP, LLP 64,100 1,078,000 0.85% Call
50 TWO SIGMA INVESTMENTS, LP 64,541 1,086,000 0.85%
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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.