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

Institutional Holders (2016Q3)
Portfolio Summary: 70 Institutional holders with a total value of $53,546,454.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 US BANCORP \DE\ 6 0 0.00%
2 GLENMEDE TRUST CO NA 147 0 0.00%
3 MSI Financial Services Inc 116 1,000 0.00%
4 SIMPLEX TRADING, LLC 181 1,000 0.00%
5 PENSERRA CAPITAL MANAGEMENT LLC 435 3,000 0.01%
6 HOWE & RUSLING INC 650 6,000 0.01%
7 ADVISOR GROUP, INC. 675 6,000 0.01%
8 BANK OF AMERICA CORP /DE/ 1,167 10,000 0.02%
9 Advisory Services Network, LLC 1,355 12,000 0.02%
10 CUTLER GROUP LLC / CA 1,447 12,000 0.02%
11 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 1,650 15,000 0.03%
12 PNC FINANCIAL SERVICES GROUP, INC. 2,133 19,000 0.04%
13 People's United Financial, Inc. 3,600 32,000 0.06%
14 TRUST CO OF VERMONT 4,400 39,000 0.07%
15 North Star Investment Management Corp. 5,175 46,000 0.09%
16 Tower Research Capital LLC (TRC) 6,745 60,000 0.11%
17 MANUFACTURERS LIFE INSURANCE COMPANY, THE 7,983 71,000 0.13%
18 CREDIT SUISSE AG/ 10,391 93,000 0.17%
19 TUDOR INVESTMENT CORP ET AL 10,878 97,000 0.18%
20 Stratos Wealth Partners, LTD. 11,232 100,000 0.19%
21 ROWLAND CARMICHAEL ADVISORS INC /ADV 11,361 101,000 0.19%
22 ACROSPIRE INVESTMENT MANAGEMENT LLC 12,332 110,000 0.21%
23 GAM Holding AG 12,830 114,000 0.21%
24 EAGLE GLOBAL ADVISORS LLC 13,310 118,000 0.22%
25 TWO SIGMA SECURITIES, LLC 15,057 134,000 0.25%
26 Creative Planning 15,500 138,000 0.26%
27 D. E. Shaw & Co., Inc. 15,972 142,000 0.27%
28 CITIGROUP INC 16,912 150,000 0.28%
29 SPROTT INC. 17,000 151,000 0.28%
30 PARAMETRIC PORTFOLIO ASSOCIATES LLC 18,566 165,000 0.31%
31 PRELUDE CAPITAL MANAGEMENT, LLC 20,200 180,000 0.34%
32 Nine Chapters Capital Management LLC 20,200 180,000 0.34%
33 ROYAL BANK OF CANADA 20,578 182,000 0.34%
34 RAYMOND JAMES & ASSOCIATES 21,316 189,000 0.35%
35 Yellowstone Partners, LLC 22,540 200,000 0.37%
36 Grantham, Mayo, Van Otterloo & Co. LLC 26,718 238,000 0.44%
37 LPL Financial LLC 32,972 295,000 0.55%
38 WELLS FARGO & COMPANY/MN 33,495 298,000 0.56%
39 SUSQUEHANNA INTERNATIONAL GROUP, LLP 35,217 313,000 0.58%
40 DEERE & CO 36,925 328,000 0.61%
41 Archford Capital Strategies, LLC 41,979 372,000 0.69%
42 WFG Advisors, LP 42,438 377,000 0.70%
43 CITADEL ADVISORS LLC 44,690 397,000 0.74%
44 TFS CAPITAL LLC 46,158 410,000 0.77%
45 Legal & General Group Plc 64,959 578,000 1.08%
46 GOLDMAN SACHS GROUP INC 71,453 635,000 1.19%
47 ICM ASSET MANAGEMENT INC/WA 71,445 635,000 1.19%
48 Dynamic Technology Lab Private Ltd 76,260 678,000 1.27%
49 CORNERSTONE WEALTH MANAGEMENT, LLC 76,216 683,000 1.28%
50 JPMORGAN CHASE & CO 81,152 722,000 1.35%
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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.