SPE · Special Opportunities Fund, Inc. · Holdings

$13.32 +0.00 (+0.00%) At close · Sep 11

Market Cap

$146.81M

11.02M

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: 45

Total Value: $43,525,251

Total Shares: 3,231,275

Institutional Ownership Trend

26 quarters

Holder Concentration

Across 45 13F filers · Δ vs Mar 31, 2026

Top Holder

38.5%

−4.4 pts

Top 5

77.3%

+5.5 pts

Top 10

87.9%

+0.4 pts

HHI

2,089

Moderately concentrated−75

Quarterly Activity

vs Mar 31, 2026

New

Increased

Decreased

Sold Out

Unchanged

Holder count: +2

Institutional value: +1.8%

Shares held: +3.9%

Top Buyers

vs Mar 31, 2026

Institution	Added	Now Holds
Small Shaker Financial Services, LLC	+292,949	664,992
Small BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC	+62,085	356,979
Mid OPPENHEIMER & CO INC	+15,117	36,489
Small NBC SECURITIES, INC.	+10,007	26,664
Mega MORGAN STANLEY	+5,922	96,684

Top Sellers

vs Mar 31, 2026

Institution	Sold	Now Holds
Large Focus Partners Wealth	−90,333	1,245,185
Mid WOLVERINE ASSET MANAGEMENT LLC	−80,793	14,490
Mid RIVERNORTH CAPITAL MANAGEMENT, LLC	−64,721	17,348
Small GatePass Capital, LLC	−55,485	57,374
Mega WELLS FARGO & COMPANY/MN	−10,282	887

Top New Positions

vs Mar 31, 2026

Institution	Acquired	Value (USD)
Small Permanent Capital Management, LP	22,114	$297,875
Mid LEAVELL INVESTMENT MANAGEMENT, INC.	16,800	$226,296
Mid XTX Topco Ltd	10,990	$148,035
Micro PMG Family Office LLC	10,137	$136,545
Mid Global Retirement Partners, LLC	3,705	$49,906

Top Sold-Out Positions

vs Mar 31, 2026

Institution	Previously Held	Last Value (USD)
Mid Independent Advisor Alliance	21,188	$291,546
Large MAI Capital Management	5,372	$73,918
Mid Advisory Services Network, LLC	910	$12,521
Mid Sound Income Strategies, LLC	740	$10,182
Large DANSKE BANK A/S	4	$55

Filter: New 7 Increased 13 Reduced 13 Sold out 5 Unchanged 12

Showing 45 of 45

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

Focus Partners Wealth

$16,772,641

38.54%

1,245,185

Shaker Financial Services, LLC

$8,957,442

20.58%

664,992

BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC

$4,808,507

11.05%

356,979

CSS LLC/IL

$1,650,465

3.79%

122,529

SCOTIA CAPITAL INC.

$1,465,320

3.37%

108,784

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

Manager	Shares	Value (USD)	% of position	Discretion
BANK OF NOVA SCOTIA	108,784	$1,465,320	100.0%	Defined

Advisors Asset Management, Inc.

$1,432,332

3.29%

106,335

MORGAN STANLEY

$1,302,332

2.99%

96,684

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

Manager	Shares	Value (USD)	% of position	Discretion
MORGAN STANLEY SMITH BARNEY LLC	96,684	$1,302,332	100.0%	Defined

GatePass Capital, LLC

$772,827

1.78%

57,374

FIRST MANHATTAN CO. LLC.

$596,451

1.37%

44,280

OPPENHEIMER & CO INC

$491,506

1.13%

36,489

RAYMOND JAMES FINANCIAL INC

$458,707

1.05%

34,054

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

Manager	Shares	Value (USD)	% of position	Discretion
RAYMOND JAMES & ASSOCIATES	29,811	$401,554	87.5%	Defined
Raymond James Financial Services Advisors, Inc.	4,243	$57,153	12.5%	Defined

NBC SECURITIES, INC.

$359,164

0.83%

26,664

Permanent Capital Management, LP

$297,875

0.68%

22,114

COMMONWEALTH EQUITY SERVICES, LLC

$294,373

0.68%

21,854

Cetera Investment Advisers

$275,367

0.63%

20,443

GUGGENHEIM CAPITAL LLC

$275,043

0.63%

20,419

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

Manager	Shares	Value (USD)	% of position	Discretion
GUGGENHEIM FUNDS DISTRIBUTORS, LLC	20,124	$271,070	98.6%	Defined
SECURITY INVESTORS LLC	295	$3,973	1.4%	Defined

OSAIC HOLDINGS, INC.

$258,448

0.59%

19,187

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

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	19,187	$258,448	100.0%	Defined

Sowell Financial Services LLC

$241,557

0.55%

17,933

TrueMark Investments, LLC

$233,677

0.54%

17,348

RIVERNORTH CAPITAL MANAGEMENT, LLC

$233,677

0.54%

17,348

LEAVELL INVESTMENT MANAGEMENT, INC.

$226,296

0.52%

16,800

Ancora Advisors LLC

$218,887

0.50%

16,250

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

Manager	Shares	Value (USD)	% of position	Discretion
ANCORA PRIVATE WEALTH ADVISORS, LLC	16,250	$218,887	100.0%	Sole

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$207,909

0.48%

15,435

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

Manager	Shares	Value (USD)	% of position	Discretion
G1 EXECUTION SERVICES, LLC	15,435	$207,909	100.0%	Other

Live Oak Private Wealth LLC

$206,535

0.47%

15,333

WOLVERINE ASSET MANAGEMENT LLC

$195,180

0.45%

14,490

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

Manager	Shares	Value (USD)	% of position	Discretion
Wolverine Holdings, LLC	14,490	$195,180	100.0%	Defined

PATRON PARTNERS, LLC

$192,270

0.44%

14,274

NWF Advisory Services Inc.

$183,272

0.42%

13,606

HARBOUR INVESTMENTS, INC.

$175,110

0.40%

13,000

XTX Topco Ltd

$148,035

0.34%

10,990

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

Manager	Shares	Value (USD)	% of position	Discretion
XTX EXECUTION SERVICES LLC joint	10,990	$148,035	100.0%	Defined

Detalus Advisors, LLC

$145,785

0.33%

10,823

PMG Family Office LLC

$136,545

0.31%

10,137

ROYAL BANK OF CANADA

$70,717

0.16%

5,250

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	5,250	$70,717	100.0%	Defined

UBS Group AG

$69,545

0.16%

5,163

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	5,163	$69,545	100.0%	Defined

Global Retirement Partners, LLC

$49,906

0.11%

3,705

NewEdge Advisors, LLC

$30,469

0.07%

2,262

WINMILL & CO. INC

$28,192

0.06%

2,093

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

Manager	Shares	Value (USD)	% of position	Discretion
Bexil Advisers LLC	2,093	$28,192	100.0%	Defined

Keating Financial Advisory Services, Inc.

$23,303

0.05%

1,730

Rockefeller Capital Management L.P.

$12,365

0.03%

918

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

Manager	Shares	Value (USD)	% of position	Discretion
ROCKEFELLER & CO. LLC	918	$12,365	100.0%	Defined

WELLS FARGO & COMPANY/MN

$11,947

0.03%

887

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

Manager	Shares	Value (USD)	% of position	Discretion
WELLS FARGO CLEARING SERVICES, LLC	887	$11,947	100.0%	Defined

EASTERN BANK

$10,102

0.02%

750

HIGHLINE WEALTH PARTNERS LLC

$2,774

0.01%

206

FIRST HORIZON CORP

$1,387

0.00%

103

CVA Family Office, LLC

$525

0.00%

Indiana Trust & Investment Management Co

$350

0.00%

Aspect Partners, LLC

$134

0.00%

Key facts CIK 897802 CUSIP 84741T104 13F (30d) 11 filings 11 filers Visit website Investor relations