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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 GLENMEDE TRUST CO NA 147 0 0.00%
2 US BANCORP \DE\ 6 0 0.00%
3 CUTLER GROUP LLC / CA 300 0 0.00% Call
4 BARCLAYS PLC 67 1,000 0.00%
5 Tower Research Capital LLC (TRC) 200 2,000 0.00%
6 CUTLER GROUP LLC / CA 251 2,000 0.00%
7 JPMORGAN CHASE & CO 320 3,000 0.01%
8 PENSERRA CAPITAL MANAGEMENT LLC 464 4,000 0.01%
9 Winslow, Evans & Crocker, Inc. 475 4,465 0.01%
10 FEDERATION DES CAISSES DESJARDINS DU QUEBEC 500 4,700 0.01%
11 D'Orazio & Associates, Inc. 500 5,000 0.01%
12 ACROSPIRE INVESTMENT MANAGEMENT LLC 505 5,000 0.01%
13 TRUST CO OF VERMONT 667 6,000 0.01%
14 ADVISOR GROUP, INC. 675 6,000 0.01%
15 HOWE & RUSLING INC 650 6,000 0.01%
16 PATRIOT FINANCIAL GROUP INSURANCE AGENCY, LLC 1,100 10,000 0.02%
17 BANK OF AMERICA CORP /DE/ 1,167 11,000 0.02%
18 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 1,650 16,000 0.03%
19 Creative Planning 1,711 16,000 0.03%
20 IFP ADVISORS, INC 2,184 21,000 0.04%
21 DEUTSCHE BANK AG\ 2,600 24,000 0.04%
22 People's United Financial, Inc. 2,700 25,000 0.04%
23 CITIGROUP INC 3,270 31,000 0.05%
24 North Star Investment Management Corp. 5,000 47,000 0.08%
25 MANUFACTURERS LIFE INSURANCE COMPANY, THE 7,034 67,000 0.12%
26 BB&T SECURITIES, LLC 10,118 95,000 0.17%
27 CIBC WORLD MARKET INC. 10,242 96,000 0.17%
28 Airain ltd 10,310 97,000 0.17%
29 GOLDMAN SACHS GROUP INC 11,193 105,000 0.18%
30 TUDOR INVESTMENT CORP ET AL 11,952 112,000 0.20%
31 Stratos Wealth Partners, LTD. 14,614 137,000 0.24%
32 Crow Point Partners, LLC 15,000 140,000 0.24%
33 Commonwealth Equity Services, Inc 16,293 153,000 0.27%
34 LPL Financial LLC 16,471 155,000 0.27%
35 SPROTT INC. 17,000 160,000 0.28%
36 A.R.T. Advisors, LLC 18,000 169,000 0.29%
37 EAGLE GLOBAL ADVISORS LLC 18,173 171,000 0.30%
38 PARAMETRIC PORTFOLIO ASSOCIATES LLC 18,727 176,000 0.31%
39 OXFORD ASSET MANAGEMENT LLP 20,367 191,000 0.33%
40 CORRADO ADVISORS, LLC 23,486 221,000 0.39%
41 ROYAL BANK OF CANADA 24,110 227,000 0.40%
42 RAYMOND JAMES & ASSOCIATES 26,984 254,000 0.44%
43 MACKENZIE FINANCIAL CORP 28,025 263,000 0.46%
44 CONFLUENCE INVESTMENT MANAGEMENT LLC 29,360 276,000 0.48%
45 SUSQUEHANNA INTERNATIONAL GROUP, LLP 31,196 293,000 0.51%
46 WELLS FARGO & COMPANY/MN 41,031 386,000 0.67%
47 ROWLAND CARMICHAEL ADVISORS INC /ADV 41,736 392,000 0.68%
48 Archford Capital Strategies, LLC 91,611 433,000 0.75%
49 GARNER ASSET MANAGEMENT CORP 55,425 521,000 0.91%
50 CORNERSTONE WEALTH MANAGEMENT, LLC 55,183 521,000 0.91%
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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.