Dark
Light
System
Security
SARATOGA INVT CORP
SARATOGA INVT CORP. Institutional holdings reported to the SEC.

Institutional Holders (2016Q2)
Portfolio Summary: 21 Institutional holders with a total value of $18,423,247.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 0 0 0.00%
2 WOLVERINE TRADING LP /BD 9 152 0.00%
3 CUTLER GROUP LLC / CA 190 3,000 0.02%
4 Tower Research Capital LLC (TRC) 247 4,000 0.02%
5 UBS Group AG 318 5,000 0.03%
6 GENEOS WEALTH MANAGEMENT INC. 381 6,000 0.03%
7 MANUFACTURERS LIFE INSURANCE COMPANY, THE 505 9,000 0.05%
8 MSI Financial Services Inc 4,746 80,000 0.43%
9 MORGAN STANLEY 7,469 126,000 0.68%
10 Orinda Asset Management LLC 12,329 193,000 1.05%
11 Legal & General Group Plc 11,712 197,000 1.07%
12 LADENBURG THALMANN FINANCIAL SERVICES INC. 17,372 294,000 1.60%
13 AMERIPRISE FINANCIAL INC 18,129 306,000 1.66%
14 J.P. Morgan Private Wealth Advisors LLC 22,500 380,000 2.06%
15 MCKINLEY CAPITAL MANAGEMENT LLC 22,822 386,000 2.10%
16 FIRST TRUST CAPITAL MANAGEMENT L.P. 30,834 521,095 2.83%
17 CUE ADVISORY SERVICES, INC. 38,965 659,000 3.58%
18 RELATIVE VALUE PARTNERS GROUP, LLC 86,816 1,432,000 7.77%
19 Foundry Partners, LLC 98,742 1,669,000 9.06%
20 RIVERNORTH CAPITAL MANAGEMENT, LLC 115,332 1,949,000 10.58%
21 BDCM CT, L.L.C. 604,510 10,204,000 55.39%

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.