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

Institutional Holders (2017Q2)
Portfolio Summary: 72 Institutional holders with a total value of $57,373,648.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Advisors Asset Management, Inc. 782,668 7,357,000 12.82%
2 LSV ASSET MANAGEMENT 501,916 4,718,000 8.22%
3 UBS Group AG 407,633 3,831,000 6.68%
4 BANK OF MONTREAL /CAN/ 364,000 3,422,000 5.96%
5 LADENBURG THALMANN FINANCIAL SERVICES INC. 344,610 3,239,000 5.65%
6 MORGAN STANLEY 326,196 3,067,000 5.35%
7 DAVENPORT & Co LLC 317,817 2,987,483 5.21%
8 VAN ECK ASSOCIATES CORP 280,855 2,640,000 4.60%
9 OUTFITTER ADVISORS, LTD. 246,265 2,315,000 4.03%
10 GSA CAPITAL PARTNERS LLP 242,700 2,281,000 3.98%
11 TWO SIGMA ADVISERS, LP 221,816 2,085,000 3.63%
12 CUE ADVISORY SERVICES, INC. 216,750 2,037,000 3.55%
13 BlackRock Finance, Inc. 205,927 1,936,000 3.37%
14 TWO SIGMA INVESTMENTS, LP 203,359 1,912,000 3.33%
15 Janney Montgomery Scott LLC 178,861 1,681,000 2.93%
16 ADVANTAGE INVESTMENT MANAGEMENT, LLC 132,969 1,250,000 2.18%
17 NUVEEN ASSET MANAGEMENT INC. 103,335 971,000 1.69%
18 WEDGE CAPITAL MANAGEMENT L L P/NC 97,000 912,000 1.59%
19 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 82,000 771,000 1.34%
20 Legal & General Group Plc 80,258 754,000 1.31%
21 WFG Advisors, LP 60,928 573,000 1.00%
22 ICM ASSET MANAGEMENT INC/WA 60,945 573,000 1.00%
23 GARNER ASSET MANAGEMENT CORP 55,425 521,000 0.91%
24 CORNERSTONE WEALTH MANAGEMENT, LLC 55,183 521,000 0.91%
25 Archford Capital Strategies, LLC 91,611 433,000 0.75%
26 ROWLAND CARMICHAEL ADVISORS INC /ADV 41,736 392,000 0.68%
27 WELLS FARGO & COMPANY/MN 41,031 386,000 0.67%
28 SUSQUEHANNA INTERNATIONAL GROUP, LLP 31,196 293,000 0.51%
29 CONFLUENCE INVESTMENT MANAGEMENT LLC 29,360 276,000 0.48%
30 MACKENZIE FINANCIAL CORP 28,025 263,000 0.46%
31 RAYMOND JAMES & ASSOCIATES 26,984 254,000 0.44%
32 ROYAL BANK OF CANADA 24,110 227,000 0.40%
33 CORRADO ADVISORS, LLC 23,486 221,000 0.39%
34 OXFORD ASSET MANAGEMENT LLP 20,367 191,000 0.33%
35 PARAMETRIC PORTFOLIO ASSOCIATES LLC 18,727 176,000 0.31%
36 EAGLE GLOBAL ADVISORS LLC 18,173 171,000 0.30%
37 A.R.T. Advisors, LLC 18,000 169,000 0.29%
38 SPROTT INC. 17,000 160,000 0.28%
39 LPL Financial LLC 16,471 155,000 0.27%
40 Commonwealth Equity Services, Inc 16,293 153,000 0.27%
41 Crow Point Partners, LLC 15,000 140,000 0.24%
42 Stratos Wealth Partners, LTD. 14,614 137,000 0.24%
43 TUDOR INVESTMENT CORP ET AL 11,952 112,000 0.20%
44 GOLDMAN SACHS GROUP INC 11,193 105,000 0.18%
45 Airain ltd 10,310 97,000 0.17%
46 CIBC WORLD MARKET INC. 10,242 96,000 0.17%
47 BB&T SECURITIES, LLC 10,118 95,000 0.17%
48 MANUFACTURERS LIFE INSURANCE COMPANY, THE 7,034 67,000 0.12%
49 North Star Investment Management Corp. 5,000 47,000 0.08%
50 CITIGROUP INC 3,270 31,000 0.05%
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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.