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GLADSTONE CAPITAL CORP
GLADSTONE CAPITAL CORP. Institutional holdings reported to the SEC.

Institutional Holders (2017Q1)
Portfolio Summary: 68 Institutional holders with a total value of $36,272,286.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 CREATIVE FINANCIAL DESIGNS INC /ADV 3 0 0.00%
2 DEUTSCHE BANK AG\ 100 0 0.00%
3 CUTLER GROUP LLC / CA 700 0 0.00% Call
4 CUTLER GROUP LLC / CA 300 0 0.00% Put
5 BARCLAYS PLC 29 0 0.00%
6 GIERL AUGUSTINE INVESTMENT MANAGEMENT INC 52 0 0.00%
7 PENSERRA CAPITAL MANAGEMENT LLC 341 3,000 0.01%
8 American Research & Management Co. 400 4,000 0.01%
9 HOWE & RUSLING INC 575 5,000 0.01%
10 Hudock, Inc. 797 7,000 0.02%
11 MANUFACTURERS LIFE INSURANCE COMPANY, THE 697 7,000 0.02%
12 GENEOS WEALTH MANAGEMENT INC. 1,150 10,000 0.03%
13 BANK OF AMERICA CORP /DE/ 1,056 10,000 0.03%
14 SIMPLEX TRADING, LLC 1,555 14,000 0.04%
15 ADVOCACY WEALTH MANAGEMENT SERVICES, LLC 1,500 14,000 0.04%
16 Tower Research Capital LLC (TRC) 2,647 25,000 0.07%
17 GLENMEDE TRUST CO NA 3,002 28,000 0.08%
18 Creative Planning 3,043 29,000 0.08%
19 FIFTH THIRD BANCORP 3,500 33,000 0.09%
20 ADVISOR GROUP, INC. 4,345 42,000 0.12%
21 ADVANTAGE INVESTMENT MANAGEMENT, LLC 4,671 44,000 0.12%
22 US BANCORP \DE\ 4,848 46,000 0.13%
23 D'Orazio & Associates, Inc. 4,993 47,000 0.13%
24 D.A. DAVIDSON & CO. 5,370 50,000 0.14%
25 WELLS FARGO & COMPANY/MN 6,083 59,000 0.16%
26 IFP ADVISORS, INC 8,000 76,000 0.21%
27 TCI Wealth Advisors, Inc. 10,088 96,000 0.26%
28 CUE ADVISORY SERVICES, INC. 10,300 98,000 0.27%
29 CITADEL ADVISORS LLC 10,700 102,000 0.28% Call
30 HL FINANCIAL SERVICES LLC 11,176 106,000 0.29%
31 CITIGROUP INC 11,263 107,000 0.29%
32 CITADEL ADVISORS LLC 11,466 109,000 0.30%
33 LADENBURG THALMANN FINANCIAL SERVICES INC. 11,931 113,000 0.31%
34 Sequoia Financial Advisors, LLC 12,068 115,000 0.32%
35 FIRST FOUNDATION ADVISORS 12,701 121,000 0.33%
36 WFG Advisors, LP 12,785 121,000 0.33%
37 Spot Trading L.L.C 13,000 123,000 0.34% Call
38 FIRST FINANCIAL EQUITY CORPORATION 14,884 135,000 0.37%
39 EAGLE GLOBAL ADVISORS LLC 14,480 137,000 0.38%
40 Freedom Investment Management, Inc. 14,848 141,000 0.39%
41 Winslow, Evans & Crocker, Inc. 15,300 145,198 0.40%
42 ROYAL BANK OF CANADA 22,365 212,000 0.58%
43 Koshinski Asset Management, Inc. 24,678 234,000 0.65%
44 Janney Montgomery Scott LLC 24,970 237,000 0.65%
45 BARD ASSOCIATES INC 29,350 279,000 0.77%
46 Virtu KCG Holdings LLC 29,724 282,000 0.78%
47 SUSQUEHANNA INTERNATIONAL GROUP, LLP 35,157 334,000 0.92%
48 CORNERSTONE WEALTH MANAGEMENT, LLC 35,733 335,000 0.92%
49 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 37,300 354,000 0.98%
50 DAVENPORT & Co LLC 39,050 366,679 1.01%
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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.