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TCP CAP CORP
TCP CAP CORP. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 95 Institutional holders with a total value of $457,040,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 CUTLER GROUP LLC / CA 2,400 0 0.00% Call
2 MSI Financial Services Inc 100 2,000 0.00%
3 PRELUDE CAPITAL MANAGEMENT, LLC 100 2,000 0.00%
4 TRUST CO 280 5,000 0.00%
5 BARCLAYS PLC 469 8,000 0.00%
6 Creative Planning 559 9,000 0.00%
7 Carroll Financial Associates, Inc. 650 10,000 0.00%
8 PENSERRA CAPITAL MANAGEMENT LLC 730 11,000 0.00%
9 Financial Management Professionals, Inc. 911 14,000 0.00%
10 IFP ADVISORS, INC 930 15,000 0.00%
11 WESTPORT RESOURCES MANAGEMENT INC 1,180 19,000 0.00%
12 THOMPSON DAVIS & CO., INC. 1,200 20,000 0.00%
13 MANUFACTURERS LIFE INSURANCE COMPANY, THE 1,576 25,000 0.01%
14 PNC FINANCIAL SERVICES GROUP, INC. 2,000 32,000 0.01%
15 NEXT Financial Group, Inc 2,703 44,000 0.01%
16 Tower Research Capital LLC (TRC) 2,952 48,000 0.01%
17 Global X Management CO LLC 3,235 53,000 0.01%
18 JPMORGAN CHASE & CO 3,354 55,000 0.01%
19 BRONFMAN E.L. ROTHSCHILD, L.P. 3,606 59,000 0.01%
20 GAM Holding AG 3,985 65,000 0.01%
21 CUTLER GROUP LLC / CA 5,871 96,000 0.02%
22 GOODWIN DANIEL L 10,000 164,000 0.04%
23 LPL Financial LLC 11,356 186,000 0.04%
24 PineBridge Investments, L.P. 13,253 217,000 0.05%
25 Sigma Planning Corp 15,853 260,000 0.06%
26 CIBC WORLD MARKET INC. 16,486 270,000 0.06%
27 CLINTON GROUP INC 18,401 301,000 0.07%
28 B. Riley Wealth Advisors, Inc. 18,500 304,000 0.07%
29 LADENBURG THALMANN FINANCIAL SERVICES INC. 18,740 307,000 0.07%
30 OPPENHEIMER & CO INC 21,490 352,000 0.08%
31 Bank of New York Mellon Corp 21,853 358,000 0.08%
32 PDT Partners, LLC 21,900 359,000 0.08%
33 ADVISOR GROUP, INC. 23,491 385,000 0.08%
34 EAGLE GLOBAL ADVISORS LLC 24,160 396,000 0.09%
35 CREDIT SUISSE AG/ 26,426 433,000 0.09%
36 CITIGROUP INC 26,915 441,000 0.10%
37 WEDBUSH SECURITIES INC 28,658 469,000 0.10%
38 GOLDMAN SACHS GROUP INC 29,107 477,000 0.10%
39 STATE STREET CORP 30,400 498,000 0.11%
40 PRUDENTIAL FINANCIAL INC 30,782 504,000 0.11%
41 BANK OF AMERICA CORP /DE/ 31,119 510,000 0.11%
42 WFG Advisors, LP 32,451 532,000 0.12%
43 SEI INVESTMENTS CO 33,612 551,000 0.12%
44 ROYAL BANK OF CANADA 34,364 563,000 0.12%
45 Nationwide Fund Advisors 34,859 571,000 0.12%
46 GLENMEDE TRUST CO NA 39,502 647,000 0.14%
47 NEW YORK STATE COMMON RETIREMENT FUND 41,620 682,000 0.15%
48 NORTHERN TRUST CORP 42,600 698,000 0.15%
49 Allen Investment Management, LLC 44,518 729,000 0.16%
50 RELATIVE VALUE PARTNERS GROUP, LLC 53,193 871,000 0.19%
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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.