GLADSTONE INVT CORP

Ticker: GAIN CUSIP: 376546107 Class: COM

Note: Option positions (PUT/CALL) are excluded.

InstitutionSharesValue ($000)
Melia Wealth LLC1,127,296$15,748
VAN ECK ASSOCIATES CORP798,954$11
UBS Group AG713,016$9,961
MORGAN STANLEY335,654$4,689
BlackRock, Inc.319,773$4,467
PFG Advisors305,248$4,264
Legal & General Group Plc273,752$3,833
OUTFITTER FINANCIAL LLC204,345$2,855
LPL Financial LLC193,933$2,709
TWO SIGMA INVESTMENTS, LP190,243$2,658
MARSHALL WACE, LLP164,583$2,299
BLAIR WILLIAM & CO/IL154,482$2,158
DAVENPORT & Co LLC137,862$1,926
Cassaday & Co Wealth Management LLC132,000$1,844
TWO SIGMA ADVISERS, LP111,418$1,557
Legacy Capital Wealth Partners, LLC111,329$1,555
Atlantic Union Bankshares Corp97,164$1,357
Advisors Asset Management, Inc.94,780$1,324
Baird Financial Group, Inc.90,801$1,268
OSAIC HOLDINGS, INC.88,410$1,235
United Advisor Group, LLC70,752$988
ALBERT D MASON INC66,833$934
ROYAL BANK OF CANADA66,229$926
Invesco Ltd.54,224$758
GREAT WEST LIFE ASSURANCE CO /CAN/50,440$1
RAYMOND JAMES FINANCIAL INC49,736$695
Virtus Investment Advisers, LLC49,495$691
TrueMark Investments, LLC41,678$582
GLOBAL STRATEGIC MANAGEMENT INC39,032$1
Garner Asset Management Corp36,293$507
Cetera Investment Advisers30,936$432
SUSQUEHANNA INTERNATIONAL GROUP, LLP30,742$429
COMMONWEALTH EQUITY SERVICES, LLC28,396$397
NORTHERN TRUST CORP25,342$354
NewEdge Advisors, LLC20,460$286
Focus Partners Wealth20,295$281
Janney Montgomery Scott LLC19,375$0
AMERIFLEX GROUP, INC.19,308$270
Prosperity Financial Group, Inc.16,000$224
Union Bancaire Privee, UBP SA15,393$32,959
WELLS FARGO & COMPANY/MN14,777$206
State of Wyoming14,667$205
Private Advisor Group, LLC14,285$200
JANE STREET GROUP, LLC14,005$196
Mirae Asset Global Investments Co., Ltd.14,000$196
ENVESTNET ASSET MANAGEMENT INC13,994$195
BANK OF AMERICA CORP /DE/12,389$173
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC12,098$168
Foundations Investment Advisors, LLC11,970$167
Hardy Reed LLC11,108$155
Sound Income Strategies, LLC10,740$151
Prime Capital Investment Advisors, LLC10,728$150
NorthRock Partners, LLC10,262$143
Abel Hall, LLC10,000$140
Register Financial Advisors LLC9,500$133
JPMORGAN CHASE & CO6,915$97
Allworth Financial LP5,167$72
North Star Investment Management Corp.5,000$70
Aquatic Capital Management LLC3,562$50
Steward Partners Investment Advisory, LLC3,000$42
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC2,190$31
Tower Research Capital LLC (TRC)2,046$29
NATIONAL BANK OF CANADA /FI/2,000$28
Kentucky Trust Co2,000$28
Kestra Advisory Services, LLC1,870$26
Ritter Daniher Financial Advisory LLC / DE1,543$22
MAI Capital Management1,407$20
JONES FINANCIAL COMPANIES LLLP1,291$18
EverSource Wealth Advisors, LLC1,200$17
CoreCap Advisors, LLC1,009$14
ORG Partners LLC1,000$14
SIGNATUREFD, LLC999$14
COMERICA BANK950$13
CITIGROUP INC805$11
CALDWELL SUTTER CAPITAL, INC.800$11
Crewe Advisors LLC766$11
Sunbelt Securities, Inc.704$10
Pflug Koory, LLC675$9
Farther Finance Advisors, LLC673$9
ASSETMARK, INC622$9
CREATIVE FINANCIAL DESIGNS INC /ADV600$8
Parallel Advisors, LLC263$4
Larson Financial Group LLC232$3
VALLEY NATIONAL ADVISERS INC150$0
WealthCollab, LLC145$2
Oakworth Capital, Inc.100$1
US BANCORP \DE\46$1
QUADRANT CAPITAL GROUP LLC37$1
EXCHANGE TRADED CONCEPTS, LLC28$0
HARBOUR INVESTMENTS, INC.10$0
DHJJ Financial Advisors, Ltd.5$0
Total (91 institutions)6,630,335$112,705