GLADSTONE INVESTMENT CORPORATION (GAIN) [Rocket]

Ownership

GLADSTONE INVESTMENT CORPORATION (GAIN)

Portfolio as of:

Name	Shares	Change	Value	% Port	% OS	Hist	Date
Legal & General Group Plc	241,566	15,238	3,147,605,000	0.00	0.72	Hist	06/30/2023
DAVENPORT & Co LLC	234,971	-6,587	3,034,000,000	0.02		Hist	12/31/2022
OUTFITTER FINANCIAL LLC	221,445	-1,200	2,858,855,000			Hist	12/31/2022
Advisors Asset Management, Inc.	215,494	-89,170	2,810,042,000	0.06	0.64	Hist	06/30/2023
LPL Financial LLC	186,793	2,356	2,475,013,000	0.00		Hist	03/31/2023
BlackRock Inc.	184,225	-11,057	2,402,297,000	0.00	0.55	Hist	06/30/2023
ADVISOR GROUP HOLDINGS, INC.	181,796	-12,132	2,370,626,000			Hist	06/30/2023
TWO SIGMA INVESTMENTS, LP	169,437	-15,750	2,209,458,000	0.01	0.50	Hist	06/30/2023
TWO SIGMA ADVISERS, LP	162,942	-15,200	2,124,764,000	0.01	0.49	Hist	06/30/2023
BLAIR WILLIAM & CO/IL	157,204	-1,650	2,049,938,000	0.01	0.47	Hist	06/30/2023
MILLENNIUM MANAGEMENT LLC	152,396	-337,222	1,987,244,000	0.00	0.45	Hist	06/30/2023
PFG Advisors	127,384	-4,360	1,661,087,000	0.13	0.38	Hist	06/30/2023
Baird Financial Group, Inc.	103,173	0	1,345,376,000	0.00	0.31	Hist	06/30/2023
Atlantic Union Bankshares Corp	102,808	-13,717	1,340,616,000	0.13	0.31	Hist	06/30/2023
MORGAN STANLEY	87,162	-29,972	1,136,596,000	0.00	0.26	Hist	06/30/2023
ROYAL BANK OF CANADA	65,021	14,020	847,000,000	0.00	0.19	Hist	06/30/2023
CITADEL ADVISORS LLC	53,767	-76,516	701,122,000	0.00	0.16	Hist	06/30/2023
TUDOR INVESTMENT CORP ET AL	51,437	11,220	670,738,000	0.01	0.15	Hist	06/30/2023
MACKENZIE FINANCIAL CORP	40,127	2,993	528,473,000	0.00	0.12	Hist	06/30/2023
Belpointe Asset Management LLC	39,534	2,068	523,824,000	0.03		Hist	03/31/2023
UBS Group AG	34,084	3,457	444,455,000	0.00	0.10	Hist	06/30/2023
RAYMOND JAMES & ASSOCIATES	31,030	-4,047	400,596,000	0.00		Hist	12/31/2022
Atria Wealth Solutions, Inc.	22,375	2,977	291,770,000	0.00	0.07	Hist	06/30/2023
JOHNSON INVESTMENT COUNSEL INC	21,792	0	284,168,000	0.00	0.06	Hist	06/30/2023
TRUIST FINANCIAL CORP	20,800	20,800	268,528,000	0.00		Hist	12/31/2022
Virtus ETF Advisers LLC	17,082	-145	222,749,000	0.13	0.05	Hist	06/30/2023
NATIXIS	15,192	-1,370	198,104,000	0.00	0.05	Hist	06/30/2023
Castle Rock Wealth Management, LLC	14,175	0	194,765,000	0.09		Hist	12/31/2022
Sheaff Brock Investment Advisors, LLC	13,500	2,200	176,040,000	0.01	0.04	Hist	06/30/2023
Kestra Advisory Services, LLC	12,533	1,000	163,430,000	0.00	0.04	Hist	06/30/2023
AMERIPRISE FINANCIAL INC	12,284	-7,470	160,183,000	0.00	0.04	Hist	06/30/2023
D. E. Shaw & Co., Inc.	12,273	-36,907	160,040,000	0.00	0.04	Hist	06/30/2023
WELLS FARGO & COMPANY/MN	11,189	-1,100	145,907,000	0.00	0.03	Hist	06/30/2023
NORTHERN TRUST CORP	11,074	11,074	144,405,000	0.00	0.03	Hist	06/30/2023
Private Advisor Group, LLC	10,514	477	139,313,000	0.00		Hist	03/31/2023
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