GAIN · Gladstone Investment Corporationde · Holdings

$15.90 -0.15 (-0.93%) At close · Sep 11

Market Cap

$633.17M

39.82M

Institutional ownership from SEC Form 13F filings. Investment managers with more than $100 million in U.S. equities must disclose their positions every quarter, within 45 days of quarter-end, so the holdings shown can lag the market by up to a quarter.

Use institutional holdings through the 13F API or MCP →

Quarter:

Holders: 96

Total Value: $115,229,183

Total Shares: 7,428,437

Institutional Ownership Trend

26 quarters

Holder Concentration

Across 96 13F filers · Δ vs Mar 31, 2026

Top Holder

10.8%

−4.6 pts

Top 5

43.5%

−7.3 pts

Top 10

63.7%

−4.5 pts

HHI

519

Broadly held−156

Quarterly Activity

vs Mar 31, 2026

New

Increased

Decreased

Sold Out

Unchanged

Holder count: +5

Institutional value: +16.5%

Shares held: +6.6%

Top Buyers

vs Mar 31, 2026

Institution	Added	Now Holds
Mega CITADEL ADVISORS LLC	+220,693	314,793
Mega VAN ECK ASSOCIATES CORP	+212,170	804,098
Mega SUSQUEHANNA INTERNATIONAL GROUP, LLP	+198,358	273,300
Mega Legal & General Group Plc	+36,369	337,067
Mega Invesco Ltd.	+29,379	72,620

Top Sellers

vs Mar 31, 2026

Institution	Sold	Now Holds
Small Melia Wealth LLC	−413,173	656,313
Mega TWO SIGMA INVESTMENTS, LP	−220,157	584,106
Mega UBS Group AG	−114,082	618,149
Small PFG Advisors	−78,702	236,628
Mega JANE STREET GROUP, LLC	−64,263	17,100

Top New Positions

vs Mar 31, 2026

Institution	Acquired	Value (USD)
Mid COOPER CREEK PARTNERS MANAGEMENT LLC	576,289	$8,909,427
Large MARSHALL WACE, LLP	116,693	$1,804,073
Micro X ADVISORS, LLC	40,000	$1,003,995
Mid CONFLUENCE INVESTMENT MANAGEMENT LLC	36,982	$571,741
Mid Aquatic Capital Management LLC	29,776	$460,336

Top Sold-Out Positions

vs Mar 31, 2026

Institution	Previously Held	Last Value (USD)
Large Squarepoint Ops LLC	103,510	$1,469,842
Mid INDEPENDENT FINANCIAL GROUP, LLC	24,978	$354,687
Mid Foundations Investment Advisors, LLC	12,116	$172,047
Large HighTower Advisors, LLC	11,572	$164,322
Small First Affirmative Financial Network	10,903	$154,822

Filter: New 16 Increased 25 Reduced 30 Sold out 11 Unchanged 25

Showing 99 of 99

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

VAN ECK ASSOCIATES CORP

$12,431,355

10.79%

804,098

Melia Wealth LLC

$10,146,598

8.81%

656,313

UBS Group AG

$9,556,582

8.29%

618,149

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
UBS Financial Services Inc	3,701	$57,217	0.6%	Defined
UBS AG	607,226	$9,387,713	98.2%	Defined
UBS Switzerland AG	7,222	$111,652	1.2%	Defined

TWO SIGMA INVESTMENTS, LP

$9,030,278

7.84%

584,106

COOPER CREEK PARTNERS MANAGEMENT LLC

$8,909,427

7.73%

576,289

MORGAN STANLEY

$5,408,648

4.69%

349,848

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
MORGAN STANLEY CAPITAL SERVICES, LLC	2,927	$45,251	0.8%	Defined
MORGAN STANLEY SMITH BARNEY LLC	346,457	$5,356,224	99.0%	Defined
PARAMETRIC PORTFOLIO ASSOCIATES LLC	464	$7,173	0.1%	Defined

Legal & General Group Plc

$5,211,055

4.52%

337,067

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Legal & General Investment Management Ltd	337,067	$5,211,055	100.0%	Defined

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$3,926,840

3.41%

254,000

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	254,000	$3,926,840	100.0%	Other

PFG Advisors

$3,658,268

3.17%

236,628

BlackRock, Inc.

$3,412,933

2.96%

220,759

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
BlackRock Asset Management Ireland Ltd	147,962	$2,287,492	67.0%	Sole
Aperio Group, LLC	72,797	$1,125,441	33.0%	Sole

OUTFITTERS FINANCIAL LLC

$3,144,100

2.73%

203,370

CITADEL ADVISORS LLC

$3,112,098

2.70%

201,300

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citadel Securities GP LLC	201,300	$3,112,098	100.0%	Defined

LPL Financial LLC

$2,862,820

2.48%

185,176

BLAIR WILLIAM & CO/IL

$2,221,277

1.93%

143,679

DAVENPORT & Co LLC

$2,203,513

1.91%

142,530

TUDOR INVESTMENT CORP ET AL

$1,870,103

1.62%

120,964

MARSHALL WACE, LLP

$1,804,073

1.57%

116,693

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Marshall Wace North America L.P. joint	116,693	$1,804,073	100.0%	Other

Legacy Capital Wealth Partners, LLC

$1,759,858

1.53%

113,833

Advisors Asset Management, Inc.

$1,611,534

1.40%

104,239

Atlantic Union Bankshares Corp

$1,494,424

1.30%

96,664

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Atlantic Union Bankshares Corp	96,664	$1,494,424	100.0%	Defined

OSAIC HOLDINGS, INC.

$1,407,215

1.22%

91,023

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	91,023	$1,407,215	100.0%	Defined

Baird Financial Group, Inc.

$1,396,038

1.21%

90,300

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Robert W. Baird & Co. Inc	300	$4,638	0.3%	Defined
BAIRD TRUST Co	90,000	$1,391,400	99.7%	Defined

CITADEL ADVISORS LLC

$1,173,414

1.02%

75,900

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citadel Securities GP LLC	75,900	$1,173,414	100.0%	Defined

Invesco Ltd.

$1,122,705

0.97%

72,620

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Invesco Capital Management LLC	72,620	$1,122,705	100.0%	Defined

United Advisor Group, LLC

$1,116,057

0.97%

72,190

ALBERT D MASON INC

$1,073,774

0.93%

69,455

X ADVISORS, LLC GAING

$1,003,995

0.87%

40,000

Cassaday & Co Wealth Management LLC

$966,250

0.84%

62,500

ROYAL BANK OF CANADA

$903,575

0.78%

58,446

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RBC Capital Markets, LLC	57,622	$890,836	98.6%	Defined
RBC Dominion Securities Inc.	824	$12,739	1.4%	Defined

RAYMOND JAMES FINANCIAL INC

$838,612

0.73%

54,244

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RAYMOND JAMES & ASSOCIATES	34,683	$536,199	63.9%	Defined
Raymond James Financial Services Advisors, Inc.	19,561	$302,413	36.1%	Defined

CANADA LIFE ASSURANCE Co

$808,001

0.70%

52,264

Cetera Investment Advisers

$649,428

0.56%

42,007

CITADEL ADVISORS LLC

$581,187

0.50%

37,593

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citadel Securities GP LLC	35,969	$556,080	95.7%	Defined
Held directly	1,624	$25,107	4.3%	Defined

CONFLUENCE INVESTMENT MANAGEMENT LLC

$571,741

0.50%

36,982

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Manager 1	22,000	$340,120	59.5%	Defined
Held directly	14,982	$231,621	40.5%	Sole

Garner Asset Management Corp

$502,341

0.44%

32,493

Aquatic Capital Management LLC

$460,336

0.40%

29,776

COMMONWEALTH EQUITY SERVICES, LLC

$349,287

0.30%

22,593

GREENWOOD GEARHART LLC

$346,304

0.30%

22,400

Virtus Investment Advisers, LLC

$343,567

0.30%

22,223

Focus Partners Wealth

$323,284

0.28%

20,911

WELLS FARGO & COMPANY/MN

$316,666

0.27%

20,483

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC	2,417	$37,366	11.8%	Defined
WELLS FARGO CLEARING SERVICES, LLC	18,066	$279,300	88.2%	Defined

NewEdge Advisors, LLC

$316,558

0.27%

20,476

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$298,378

0.26%

19,300

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	19,300	$298,378	100.0%	Other

AMERIFLEX GROUP, INC.

$291,544

0.25%

18,858

State of Wyoming

$276,981

0.24%

17,916

JANE STREET GROUP, LLC

$264,366

0.23%

17,100

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Jane Street Capital, LLC	17,100	$264,366	100.0%	Defined

Janney Montgomery Scott LLC

$251,008

0.22%

16,236

MACKENZIE FINANCIAL CORP

$247,514

0.21%

16,010

Prosperity Financial Group, Inc.

$242,722

0.21%

15,700

AMERIPRISE FINANCIAL INC

$212,528

0.18%

13,747

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Columbia Management Investment Advisers, LLC	400	$6,184	2.9%	Defined
Ameriprise Financial Services, LLC	13,347	$206,344	97.1%	Defined

Private Advisor Group, LLC

$211,059

0.18%

13,652

Creative Planning

$210,487

0.18%

13,615

BANK OF AMERICA CORP /DE/

$195,398

0.17%

12,639

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
BANK OF AMERICA NA	12,639	$195,398	100.0%	Defined

ENVESTNET ASSET MANAGEMENT INC

$178,640

0.16%

11,555

Hardy Reed LLC

$177,357

0.15%

11,472

Sound Income Strategies, LLC

$161,649

0.14%

10,456

NorthRock Partners, LLC

$158,650

0.14%

10,262

Prime Capital Investment Advisors, LLC

$158,588

0.14%

10,258

Abel Hall, LLC

$154,600

0.13%

10,000

NOMURA HOLDINGS INC

$154,600

0.13%

10,000

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
NOMURA GLOBAL FINANCIAL PRODUCTS INC	10,000	$154,600	100.0%	Defined

SIMPLEX TRADING, LLC

$152,420

0.13%

9,859

$146,870

0.13%

9,500

JPMORGAN CHASE & CO

$119,133

0.10%

7,706

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
JPMorgan Chase Bank, N.A.	2,915	$45,065	37.8%	Defined
J.P. Morgan Investment Management Inc.	31	$479	0.4%	Defined
J.P. Morgan Securities LLC	4,760	$73,589	61.8%	Defined

Allworth Financial LP

$80,020

0.07%

5,176

North Star Investment Management Corp.

$77,300

0.07%

5,000

Union Bancaire Privee, UBP SA

$55,192

0.05%

3,570

Steward Partners Investment Advisory, LLC

$46,380

0.04%

3,000

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

$33,857

0.03%

2,190

Russell Investments Group, Ltd.

$33,517

0.03%

2,168

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Russell Investment Management, LLC	2,168	$33,517	100.0%	Defined

Kentucky Trust Co

$30,920

0.03%

2,000

Burk Holdings LLC

$26,374

0.02%

1,706

Ritter Daniher Financial Advisory LLC / DE

$24,643

0.02%

1,594

JONES FINANCIAL COMPANIES LLLP

$21,458

0.02%

1,388

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Edward D. Jones & Co., L.P.	1,388	$21,458	100.0%	Sole

NOMURA ASSET MANAGEMENT CO LTD

$18,830

0.02%

1,218

EverSource Wealth Advisors, LLC

$18,552

0.02%

1,200

FIFTH THIRD BANCORP

$16,217

0.01%

1,049

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Fifth Third Bank, National Association	1,049	$16,217	100.0%	Defined

DHJJ Financial Advisors, Ltd.

$15,537

0.01%

1,005

BROWN BROTHERS HARRIMAN & CO

$15,460

0.01%

1,000

CALDWELL SUTTER CAPITAL, INC.

$12,368

0.01%

800

Crewe Advisors LLC

$11,842

0.01%

766

Pflug Koory, LLC

$10,435

0.01%

675

Farther Finance Advisors, LLC

$10,296

0.01%

666

CREATIVE FINANCIAL DESIGNS INC /ADV

$9,276

0.01%

600

ACTION POINT FINANCIAL PLANNING, LLC

$9,059

0.01%

586

Tower Research Capital LLC (TRC)

$8,116

0.01%

525

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Latour Trading LLC (Latour)	525	$8,116	100.0%	Defined

US BANCORP \DE\

$6,585

0.01%

426

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
US BANK NATIONAL ASSOCIATION	426	$6,585	100.0%	Defined

SIGNATUREFD, LLC

$5,998

0.01%

388

Markowski Investments

$4,638

0.00%

300

Larson Financial Group LLC

$3,694

0.00%

239

Parallel Advisors, LLC

$3,416

0.00%

221

VALLEY NATIONAL ADVISERS INC

$2,319

0.00%

150

ASSETMARK, INC

$1,808

0.00%

117

JNBA Financial Advisors

$1,716

0.00%

111

OAKWORTH CAPITAL, INC.

$1,546

0.00%

100

JFS WEALTH ADVISORS, LLC

$695

0.00%

BNP PARIBAS ARBITRAGE, SA

$231

0.00%

HARBOUR INVESTMENTS, INC.

$154

0.00%

Rialto Wealth Management, LLC

$108

0.00%

HUNTINGTON NATIONAL BANK

$15

0.00%

Key facts CIK 1321741 CUSIP 376546107 13F (30d) 23 filings 23 filers Visit website Investor relations