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

Institutional Holders (2016Q4)
Portfolio Summary: 66 Institutional holders with a total value of $50,287,000.
#
Manager Name
Shares
Value ($)
%
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 Tower Research Capital LLC (TRC) 292 2,000 0.00%
5 IFP ADVISORS, INC 375 3,000 0.01%
6 PENSERRA CAPITAL MANAGEMENT LLC 489 4,000 0.01%
7 HOWE & RUSLING INC 650 5,000 0.01%
8 ADVISOR GROUP, INC. 675 6,000 0.01%
9 NEXT Financial Group, Inc 930 8,000 0.02%
10 CUTLER GROUP LLC / CA 951 8,000 0.02%
11 Creative Planning 1,000 8,000 0.02%
12 PATRIOT FINANCIAL GROUP INSURANCE AGENCY, LLC 1,000 9,000 0.02%
13 BANK OF AMERICA CORP /DE/ 1,167 10,000 0.02%
14 PNC FINANCIAL SERVICES GROUP, INC. 1,167 10,000 0.02%
15 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 1,650 14,000 0.03%
16 People's United Financial, Inc. 2,000 17,000 0.03%
17 PRELUDE CAPITAL MANAGEMENT, LLC 3,300 28,000 0.06%
18 North Star Investment Management Corp. 5,175 44,000 0.09%
19 TRUST CO OF VERMONT 5,599 47,000 0.09%
20 MANUFACTURERS LIFE INSURANCE COMPANY, THE 7,458 63,000 0.13%
21 TUDOR INVESTMENT CORP ET AL 10,677 90,000 0.18%
22 Stratos Wealth Partners, LTD. 12,232 103,000 0.20%
23 CITIGROUP INC 13,800 116,000 0.23%
24 GAM Holding AG 13,918 118,000 0.23%
25 ACROSPIRE INVESTMENT MANAGEMENT LLC 14,536 123,000 0.24%
26 EAGLE GLOBAL ADVISORS LLC 14,803 125,000 0.25%
27 Grantham, Mayo, Van Otterloo & Co. LLC 15,542 131,000 0.26%
28 ROWLAND CARMICHAEL ADVISORS INC /ADV 15,695 133,000 0.26%
29 MACKENZIE FINANCIAL CORP 16,000 135,000 0.27%
30 SPROTT INC. 17,000 144,000 0.29%
31 TFS CAPITAL LLC 18,508 157,000 0.31%
32 PARAMETRIC PORTFOLIO ASSOCIATES LLC 18,572 157,000 0.31%
33 ROYAL BANK OF CANADA 22,425 189,000 0.38%
34 RAYMOND JAMES & ASSOCIATES 24,923 211,000 0.42%
35 GOLDMAN SACHS GROUP INC 36,060 305,000 0.61%
36 WELLS FARGO & COMPANY/MN 37,252 315,000 0.63%
37 Archford Capital Strategies, LLC 41,779 352,000 0.70%
38 CORRADO ADVISORS, LLC 42,246 357,000 0.71%
39 WFG Advisors, LP 42,778 362,000 0.72%
40 D. E. Shaw & Co., Inc. 43,398 367,000 0.73%
41 LPL Financial LLC 43,891 377,000 0.75%
42 JPMORGAN CHASE & CO 59,767 506,000 1.01%
43 Hillsdale Investment Management Inc. 62,300 527,000 1.05%
44 Legal & General Group Plc 64,959 550,000 1.09%
45 ICM ASSET MANAGEMENT INC/WA 66,220 560,000 1.11%
46 MILLENNIUM MANAGEMENT LLC 71,924 608,000 1.21%
47 CORNERSTONE WEALTH MANAGEMENT, LLC 73,210 630,000 1.25%
48 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 82,000 694,000 1.38%
49 GSA CAPITAL PARTNERS LLP 91,796 777,000 1.55%
50 WEDGE CAPITAL MANAGEMENT L L P/NC 97,000 821,000 1.63%
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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.