SPECIAL OPPORTUNITIES FD INC

CUSIP: 84741T104 Class: COM

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

InstitutionSharesValue ($000)
Focus Partners Wealth1,323,104$19,443
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC278,909$4,097
Shaker Financial Services, LLC250,579$3,952
GatePass Capital, LLC131,750$1,935
CSS LLC/IL115,979$1,704
Advisors Asset Management, Inc.112,888$1,658
SEVEN MILE ADVISORY108,416$1,593
SCOTIA CAPITAL INC.108,205$1,590
RIVERNORTH CAPITAL MANAGEMENT, LLC103,488$1,520
MORGAN STANLEY73,382$1,078
FIRST MANHATTAN CO. LLC.40,010$620
Cetera Investment Advisers38,001$558
RAYMOND JAMES FINANCIAL INC33,121$487
ENVESTNET ASSET MANAGEMENT INC24,735$363
OPPENHEIMER & CO INC20,766$305
GUGGENHEIM CAPITAL LLC20,203$297
NBC SECURITIES, INC.19,770$290
Ancora Advisors LLC18,470$271
OSAIC HOLDINGS, INC.18,000$264
Sowell Financial Services LLC17,369$255
HARBOUR INVESTMENTS, INC.16,284$239
COMMONWEALTH EQUITY SERVICES, LLC15,885$233
TrueMark Investments, LLC14,915$219
Live Oak Private Wealth LLC14,853$218
PATRON PARTNERS, LLC13,825$203
NWF Advisory Services Inc.13,600$200
SUSQUEHANNA INTERNATIONAL GROUP, LLP13,367$196
WELLS FARGO & COMPANY/MN11,873$174
HighTower Advisors, LLC10,598$156
Keating Financial Advisory Services, Inc.5,308$78
MAI Capital Management5,203$76
UBS Group AG4,933$72
Global Retirement Partners, LLC3,383$50
NewEdge Advisors, LLC2,162$32
ROYAL BANK OF CANADA2,148$32
WINMILL & CO. INC2,000$29
Kestra Advisory Services, LLC1,495$22
WOLVERINE ASSET MANAGEMENT LLC937$14
Rockefeller Capital Management L.P.890$13
Indiana Trust & Investment Management CO810$12
EASTERN BANK727$11
Sound Income Strategies, LLC692$11
HIGHLINE WEALTH PARTNERS LLC200$3
CVA Family Office, LLC39$1
Total (44 institutions)3,013,272$44,575