SPE · Special Opportunities Fund, Inc. · Shareholders & Ownership

$12.01 +0.01 (+0.05%)

Market Cap

$132.37M

11.02M

Volume · Nov 6 10.72K Avg daily vol (3M) 39K

Every disclosed holder of SPE in one list: 13F institutions, Schedule 13D and 13G filers, insiders (Forms 3, 4 and 5) and registered funds, each from its own latest filing. Holders nest by CIK and SEC reporting links, never by name, and each is summed once.

How the holder list picks a filing →

Who Owns SPE

13F quarter Sep 30, 2026, combined view: filers that have not filed yet carry their Jun 30, 2026 positions

No chart: shares outstanding cannot be set against these holders.

Holder group	Holders	Shares	% Out	Summed
Institutional (13F)	50	3,189,550	—	Yes
Insiders (Forms 3, 4, 5)	3	42,628	—	Yes
13D/G-only blocks	2	3,054,270	—	Yes
Registered funds (N-PORT, not summed)	3	17,751	—	No

% Out is unavailable: no shares outstanding count is on record.

13D/G-only counts each filer's latest 13D or 13G that no 13F report of the listing contains, that names no 13F filer and that no counted insider files. Funds are never summed: their shares sit inside their advisers' 13F reports.

Holders of SPE

One row per holder Every filing By ultimate parent

All 13F Funds Insiders 13D/G Non-US

#	Holder	Shares	% Out	Change	As of	Notes
1	Relative Value Partners Group, LLC 13G CIK 1649910 · Investment adviser · Dec 31, 2023 Rule 13d-1(b), qualified institution, unconfirmed, last confirmed Dec 31, 2023	1,614,949	—	—	Dec 31, 2023	Rule 13d-1(b), qualified institution, unconfirmed, last confirmed Dec 31, 2023
2	NorthCoast Asset Management LLC 13G CIK 1665198 · Registered investment adviser · Aug 31, 2025 Rule 13d-1(b), qualified institution	1,439,321	—	-130,152	Aug 31, 2025	Rule 13d-1(b), qualified institution
3	Focus Partners Wealth 13F CIK 1542153 · Registered investment adviser · Jun 30, 2026 carried, not yet filed for the newest quarter	1,245,185	—	-90,333	Jun 30, 2026	carried, not yet filed for the newest quarter
4	Shaker Financial Services, LLC 13F CIK 1511794 · Registered investment adviser · Sep 30, 2026	558,655	—	-106,337	Sep 30, 2026
5	BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 13F CIK 1352860 · Registered investment adviser · Sep 30, 2026	412,610	—	+55,631	Sep 30, 2026
6	CSS LLC/IL 13F CIK 1103646 · Unknown · Jun 30, 2026 carried, not yet filed for the newest quarter	122,529	—	+3,780	Jun 30, 2026	carried, not yet filed for the newest quarter
7	SCOTIA CAPITAL INC. 13F CIK 1335644 · Unknown · Jun 30, 2026 carried, not yet filed for the newest quarter	108,784	—	-1,259	Jun 30, 2026	carried, not yet filed for the newest quarter
8	Advisors Asset Management, Inc. 13F CIK 1297376 · Registered investment adviser · Jun 30, 2026 carried, not yet filed for the newest quarter	106,335	—	-919	Jun 30, 2026	carried, not yet filed for the newest quarter
9	MORGAN STANLEY 13F CIK 895421 · Holding company · Jun 30, 2026 carried, not yet filed for the newest quarter	96,684	—	+5,922	Jun 30, 2026	carried, not yet filed for the newest quarter
10	GatePass Capital, LLC 13F CIK 2087399 · Registered investment adviser · Jun 30, 2026 carried, not yet filed for the newest quarter	57,374	—	-55,485	Jun 30, 2026	carried, not yet filed for the newest quarter
11	FIRST MANHATTAN CO. LLC. 13F CIK 728083 · Investment adviser · Jun 30, 2026 carried, not yet filed for the newest quarter	44,280	—	0	Jun 30, 2026	carried, not yet filed for the newest quarter
12	OPPENHEIMER & CO INC 13F CIK 822581 · Unknown · Sep 30, 2026	36,922	—	+433	Sep 30, 2026
13	GOLDSTEIN PHILLIP Insider CIK 1067621 · Mar 2, 2026 10% Owner, issuer-wide	34,822	—	0	Mar 2, 2026	10% Owner, issuer-wide
14	RAYMOND JAMES FINANCIAL INC 13F CIK 720005 · Unknown · Jun 30, 2026 carried, not yet filed for the newest quarter	34,054	—	+2,014	Jun 30, 2026	carried, not yet filed for the newest quarter
15	NBC SECURITIES, INC. 13F CIK 791540 · Registered investment adviser · Sep 30, 2026	27,842	—	+1,178	Sep 30, 2026
16	Permanent Capital Management, LP 13F CIK 2054108 · Registered investment adviser · Jun 30, 2026 carried, not yet filed for the newest quarter	22,114	—	+22,114	Jun 30, 2026	carried, not yet filed for the newest quarter
17	Cetera Investment Advisers 13F CIK 1666741 · Registered investment adviser · Jun 30, 2026 carried, not yet filed for the newest quarter	20,443	—	+571	Jun 30, 2026	carried, not yet filed for the newest quarter
18	GUGGENHEIM CAPITAL LLC 13F CIK 1283072 · Unknown · Jun 30, 2026 carried, not yet filed for the newest quarter	20,419	—	-359	Jun 30, 2026	carried, not yet filed for the newest quarter
18.1	Multi-Hedge Strategies Fund Fund S000003747 · Registered fund · Jun 30, 2026 Rydex Variable Trust, not summed	218	—	—	Jun 30, 2026	Rydex Variable Trust, not summed
18.2	Guggenheim Multi-Hedge Strategies Fund Fund S000003763 · Registered fund · Jun 30, 2026 Rydex Series Funds, not summed	77	—	—	Jun 30, 2026	Rydex Series Funds, not summed
19	OSAIC HOLDINGS, INC. 13F CIK 1677044 · Holding company · Jun 30, 2026 carried, not yet filed for the newest quarter	19,187	—	-105	Jun 30, 2026	carried, not yet filed for the newest quarter
20	TrueMark Investments, LLC 13F CIK 1974457 · Registered investment adviser · Sep 30, 2026	18,428	—	+1,080	Sep 30, 2026
20.1	RiverNorth Active Income ETF Fund S000093615 · Registered fund · Jul 31, 2026 Elevation Series Trust, not summed	17,456	—	+108	Jul 31, 2026	Elevation Series Trust, not summed
21	Sowell Financial Services LLC 13F CIK 1633697 · Registered investment adviser · Sep 30, 2026	17,933	—	0	Sep 30, 2026
22	RIVERNORTH CAPITAL MANAGEMENT, LLC 13F CIK 1447578 · Registered investment adviser · Jun 30, 2026 carried, not yet filed for the newest quarter	17,348	—	-64,721	Jun 30, 2026	carried, not yet filed for the newest quarter
23	LEAVELL INVESTMENT MANAGEMENT, INC. 13F CIK 924181 · Registered investment adviser · Jun 30, 2026 carried, not yet filed for the newest quarter	16,800	—	+16,800	Jun 30, 2026	carried, not yet filed for the newest quarter
24	Ancora Advisors LLC 13F CIK 1446114 · Registered investment adviser · Jun 30, 2026 carried, not yet filed for the newest quarter	16,250	—	-6,637	Jun 30, 2026	carried, not yet filed for the newest quarter
25	SUSQUEHANNA INTERNATIONAL GROUP, LLP 13F CIK 1446194 · Unknown · Jun 30, 2026 carried, not yet filed for the newest quarter	15,435	—	+3,614	Jun 30, 2026	carried, not yet filed for the newest quarter
26	Live Oak Private Wealth LLC 13F CIK 1799877 · Registered investment adviser · Sep 30, 2026	15,333	—	0	Sep 30, 2026
27	PATRON PARTNERS, LLC 13F CIK 1841768 · Registered investment adviser · Jun 30, 2026 carried, not yet filed for the newest quarter	14,274	—	0	Jun 30, 2026	carried, not yet filed for the newest quarter
28	COMMONWEALTH EQUITY SERVICES, LLC 13F CIK 312272 · Registered investment adviser · Sep 30, 2026	14,033	—	-7,821	Sep 30, 2026
29	NWF Advisory Services Inc. 13F CIK 2045735 · Registered investment adviser · Sep 30, 2026	13,606	—	0	Sep 30, 2026
30	HARBOUR INVESTMENTS, INC. 13F CIK 810121 · Registered investment adviser · Jun 30, 2026 carried, not yet filed for the newest quarter	13,000	—	-3,813	Jun 30, 2026	carried, not yet filed for the newest quarter
31	XTX Topco Ltd 13F CIK 1828301 · Unknown · Jun 30, 2026 carried, not yet filed for the newest quarter	10,990	—	+10,990	Jun 30, 2026	carried, not yet filed for the newest quarter
32	Detalus Advisors, LLC 13F CIK 1799677 · Registered investment adviser · Sep 30, 2026	10,823	—	0	Sep 30, 2026
33	PMG Family Office LLC 13F CIK 2102299 · Registered investment adviser · Sep 30, 2026	10,786	—	+649	Sep 30, 2026
34	Principle Wealth Partners LLC 13F CIK 1743413 · Registered investment adviser · Sep 30, 2026	10,000	—	+10,000	Sep 30, 2026
35	WOLVERINE ASSET MANAGEMENT LLC 13F CIK 1279891 · Registered investment adviser · Sep 30, 2026	9,589	—	-4,901	Sep 30, 2026
36	Dakos Andrew Insider CIK 1341021 · Jun 3, 2026 10% Owner, issuer-wide	5,845	—	-5,881	Jun 3, 2026	10% Owner, issuer-wide
37	ROYAL BANK OF CANADA 13F CIK 1000275 · Bank · Jun 30, 2026 carried, not yet filed for the newest quarter	5,250	—	+3,000	Jun 30, 2026	carried, not yet filed for the newest quarter
38	UBS Group AG 13F CIK 1610520 · Bank · Jun 30, 2026 carried, not yet filed for the newest quarter	5,163	—	0	Jun 30, 2026	carried, not yet filed for the newest quarter
39	US BANCORP \DE\ 13F CIK 36104 · Bank · Sep 30, 2026	3,781	—	+3,781	Sep 30, 2026
40	Global Retirement Partners, LLC 13F CIK 1749744 · Unknown · Jun 30, 2026 carried, not yet filed for the newest quarter	3,705	—	—	Jun 30, 2026	carried, not yet filed for the newest quarter
41	SkyView Investment Advisors, LLC 13F CIK 1848237 · Unknown · Jun 30, 2026 carried, not yet filed for the newest quarter	3,241	—	+3,241	Jun 30, 2026	carried, not yet filed for the newest quarter
42	NewEdge Advisors, LLC 13F CIK 1633516 · Registered investment adviser · Jun 30, 2026 carried, not yet filed for the newest quarter	2,262	—	0	Jun 30, 2026	carried, not yet filed for the newest quarter
43	WINMILL & CO. INC 13F CIK 52234 · Investment adviser · Jun 30, 2026 carried, not yet filed for the newest quarter	2,093	—	0	Jun 30, 2026	carried, not yet filed for the newest quarter
44	SELL MORITZ A Insider CIK 1053116 · Apr 1, 2026 Director, issuer-wide	1,961	—	—	Apr 1, 2026	Director, issuer-wide
45	Keating Financial Advisory Services, Inc. 13F CIK 2103443 · Registered investment adviser · Jun 30, 2026 carried, not yet filed for the newest quarter	1,730	—	-3,885	Jun 30, 2026	carried, not yet filed for the newest quarter
46	BFC Planning, Inc. 13F CIK 2160654 · Registered investment adviser · Jun 30, 2026 carried, not yet filed for the newest quarter	1,032	—	0	Jun 30, 2026	carried, not yet filed for the newest quarter
47	Rockefeller Capital Management L.P. 13F CIK 1739439 · Registered investment adviser · Jun 30, 2026 carried, not yet filed for the newest quarter	918	—	0	Jun 30, 2026	carried, not yet filed for the newest quarter
48	WELLS FARGO & COMPANY/MN 13F CIK 72971 · Bank · Jun 30, 2026 carried, not yet filed for the newest quarter	887	—	-10,282	Jun 30, 2026	carried, not yet filed for the newest quarter
49	EASTERN BANK 13F CIK 1126395 · Unknown · Sep 30, 2026	750	—	0	Sep 30, 2026
50	Rossby Financial, LCC 13F CIK 2056510 · Registered investment adviser · Sep 30, 2026	309	—	+309	Sep 30, 2026

Shares are restated onto today's split basis. Change compares each row with the same holder's previous filing in the same source; a dash means there is none to compare. Nested 13D/G, insider and fund rows are not summed, since a 13F report already holds them.

Showing 1–50 of 55 holders

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Key facts CIK 897802 CUSIP 84741T104 13F (30d) 35 filings 22 filers Visit website Investor relations