DaveManuel.com · Institutional Ownership · Who Owns It
GLADSTONE INVT CORP (GAIN)
Institutional ownership reported to the SEC as of Q2 2026, across 32 quarters.
95
Reporting holders
$114.2M
Reported value
17.1%
Of shares outstanding
6.2%
Calls
1.5%
Puts
+3
Holder change
Institutions report 6,817,969 shares against 39,821,967 outstanding. Shares only - option lines are excluded, which is why this can be compared with the company at all. The count comes from the cover page of the company's own most recent report, so it is dated when that was filed rather than at quarter end.
Calls and puts are the parts of reported value carried in derivative lines rather than shares, and they point in opposite directions: a manager holding calls is positioned for the security, one holding puts against it - or hedging shares they already own, which is why index funds carry so many. Most sites add the two together and report one figure, which averages away the only interesting part.
Holders
| Filer | Value | Shares | Their book | Held | Change |
|---|---|---|---|---|---|
| VAN ECK ASSOCIATES CORP | $12.4M | 804,098 | 0.01% | 31q | +35.8%+$3.3M |
| Melia Wealth LLC | $10.1M | 656,313 | 5.84% | 10q | -38.6%-$6.4M |
| UBS Group AG | $9.6M | 618,149 | 0.00% | 31q | -15.6%-$1.8M |
| TWO SIGMA INVESTMENTS, LP | $9.0M | 584,106 | 0.01% | 3q | -27.4%-$3.4M |
| COOPER CREEK PARTNERS MANAGEMENT LLC | $8.9M | 576,289 | 0.21% | new | NEW |
| Union Bancaire Privee, UBP SA | $8.8M | 3,570? | 0.10% | 7q | |
| MORGAN STANLEY | $5.4M | 349,848 | 0.00% | 35q | +3.5%+$182.1K |
| Legal & General Group Plc | $5.2M | 337,067 | 0.00% | 31q | +12.1%+$561.7K |
| CITADEL ADVISORS LLC | $4.9M incl. $4.3M options CALL+PUT | 37,593 | 0.00% | 31q | HELD |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | $4.2M CALL+PUT | options only | 0.00% | 31q | OPTIONS |
| PFG Advisors | $3.7M | 236,628 | 0.18% | 31q | -25.0%-$1.2M |
| BlackRock, Inc. | $3.4M | 220,759 | 0.00% | 8q | +6.4%+$206.5K |
| OUTFITTERS FINANCIAL LLC | $3.1M | 203,370 | 2.20% | 23q | -0.9%-$27.1K |
| LPL Financial LLC | $2.9M | 185,176 | 0.00% | 25q | -1.2%-$35.0K |
| BLAIR WILLIAM & CO/IL | $2.2M | 143,679 | 0.01% | 31q | -1.4%-$32.1K |
| DAVENPORT & Co LLC | $2.2M | 142,530 | 0.01% | 31q | +1.9%+$41.2K |
| TUDOR INVESTMENT CORP ET AL | $1.9M | 120,964 | 0.00% | 2q | -3.4%-$65.6K |
| MARSHALL WACE, LLP | $1.8M | 116,693 | 0.00% | new | NEW |
| Legacy Capital Wealth Partners, LLC | $1.8M | 113,833 | 0.34% | 9q | -4.4%-$80.9K |
| Advisors Asset Management, Inc. | $1.6M | 104,239 | 0.02% | 17q | -4.3%-$73.2K |
| Atlantic Union Bankshares Corp | $1.5M | 96,664 | 0.02% | 29q | -0.5%-$7.7K |
| OSAIC HOLDINGS, INC. | $1.4M | 91,023 | 0.00% | 26q | -4.4%-$65.4K |
| Baird Financial Group, Inc. | $1.4M | 90,300 | 0.00% | 16q | HELD |
| Invesco Ltd. | $1.1M | 72,620 | 0.00% | 5q | +67.9%+$454.2K |
| United Advisor Group, LLC | $1.1M | 72,190 | 0.12% | 11q | -7.0%-$83.8K |
| ALBERT D MASON INC | $1.1M | 69,455 | 0.61% | 24q | +2.2%+$23.5K |
| Cassaday & Co Wealth Management LLC | $966.2K | 62,500 | 0.02% | 7q | -20.9%-$255.1K |
| ROYAL BANK OF CANADA | $904.0K | 58,446 | 0.00% | 31q | HELD |
| RAYMOND JAMES FINANCIAL INC | $838.6K | 54,244 | 0.00% | 7q | +13.2%+$97.6K |
| CANADA LIFE ASSURANCE Co | $805.0K | 52,264 | 0.00% | 27q | +20.4%+$136.1K |
| Cetera Investment Advisers | $649.4K | 42,007 | 0.00% | 9q | +32.7%+$160.1K |
| CONFLUENCE INVESTMENT MANAGEMENT LLC | $571.7K | 36,982 | 0.01% | new | NEW |
| Garner Asset Management Corp | $502.3K | 32,493 | 0.16% | 31q | -5.8%-$30.9K |
| Aquatic Capital Management LLC | $460.3K | 29,776 | 0.02% | new | NEW |
| COMMONWEALTH EQUITY SERVICES, LLC | $349.3K | 22,593 | 0.00% | 31q | -22.6%-$102.0K |
| GREENWOOD GEARHART LLC | $346.3K | 22,400 | 0.02% | 2q | +25.1%+$69.6K |
| Virtus Investment Advisers, LLC | $343.6K | 22,223 | 0.08% | 6q | -45.8%-$290.8K |
| Focus Partners Wealth | $323.3K | 20,911 | 0.00% | 6q | +0.8%+$2.6K |
| WELLS FARGO & COMPANY/MN | $316.7K | 20,483 | 0.00% | 31q | +17.6%+$47.4K |
| NewEdge Advisors, LLC | $316.6K | 20,476 | 0.00% | 10q | +2.5%+$7.7K |
| AMERIFLEX GROUP, INC. | $291.5K | 18,858 | 0.12% | 4q | -2.6%-$7.7K |
| State of Wyoming | $277.0K | 17,916 | 0.03% | 7q | +90.2%+$131.3K |
| JANE STREET GROUP, LLC | $264.4K PUT | options only | 0.00% | 3q | OPTIONS |
| Janney Montgomery Scott LLC | $251.0K | 16,236 | 0.00% | 4q | -12.3%-$35.2K |
| MACKENZIE FINANCIAL CORP | $247.5K | 16,010 | 0.00% | new | NEW |
| Prosperity Financial Group, Inc. | $242.7K | 15,700 | 0.08% | 15q | HELD |
| AMERIPRISE FINANCIAL INC | $212.5K | 13,747 | 0.00% | 2q | -1.5%-$3.3K |
| Private Advisor Group, LLC | $211.1K | 13,652 | 0.00% | 17q | -6.7%-$15.1K |
| Creative Planning | $210.5K | 13,615 | 0.00% | 2q | +2.8%+$5.7K |
| BANK OF AMERICA CORP /DE/ | $195.4K | 12,639 | 0.00% | new | NEW |
| ENVESTNET ASSET MANAGEMENT INC | $178.6K | 11,555 | 0.00% | 9q | -3.8%-$7.1K |
| Hardy Reed LLC | $177.4K | 11,472 | 0.01% | 6q | +1.5%+$2.7K |
| Sound Income Strategies, LLC | $161.7K | 10,456 | 0.01% | 3q | -2.6%-$4.4K |
| NorthRock Partners, LLC | $158.7K | 10,262 | 0.00% | 3q | HELD |
| Prime Capital Investment Advisors, LLC | $158.6K | 10,258 | 0.00% | 4q | HELD |
| NOMURA HOLDINGS INC | $154.6K | 10,000 | 0.00% | new | NEW |
| Abel Hall, LLC | $154.6K | 10,000 | 0.03% | 3q | HELD |
| SIMPLEX TRADING, LLC | $152.4K | 9,859 | 0.00% | 2q | -38.4%-$94.9K |
| Register Financial Advisors LLC | $146.9K | 9,500 | 0.05% | 3q | HELD |
| JPMORGAN CHASE & CO | $118.5K | 7,706 | 0.00% | 8q | +25.4%+$24.0K |
| Allworth Financial LP | $80.0K | 5,176 | 0.00% | 8q | HELD |
| North Star Investment Management Corp. | $77.3K | 5,000 | 0.00% | 28q | HELD |
| Steward Partners Investment Advisory, LLC | $46.4K | 3,000 | 0.00% | 9q | HELD |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | $34.3K | 2,190 | 0.00% | 3q | HELD |
| Russell Investments Group, Ltd. | $33.5K | 2,168 | 0.00% | new | NEW |
| Kentucky Trust Co | $30.9K | 2,000 | 0.01% | 7q | HELD |
| Burk Holdings LLC | $26.4K | 1,706 | 0.01% | 2q | HELD |
| Ritter Daniher Financial Advisory LLC / DE | $24.6K | 1,594 | 0.00% | 3q | +1.5% |
| JONES FINANCIAL COMPANIES LLLP | $21.0K | 1,388 | 0.00% | 8q | HELD |
| NOMURA ASSET MANAGEMENT CO LTD | $18.8K | 1,218 | 0.00% | 2q | -17.0%-$3.8K |
| EverSource Wealth Advisors, LLC | $18.6K | 1,200 | 0.00% | 15q | HELD |
| FIFTH THIRD BANCORP | $16.2K | 1,049 | 0.00% | 2q | HELD |
| DHJJ Financial Advisors, Ltd. | $15.5K | 1,005 | 0.00% | 12q | HELD |
| BROWN BROTHERS HARRIMAN & CO | $15.5K | 1,000 | 0.00% | new | NEW |
| CALDWELL SUTTER CAPITAL, INC. | $12.4K | 800 | 0.00% | 15q | HELD |
| Crewe Advisors LLC | $11.8K | 766 | 0.00% | 4q | HELD |
| BFC Planning, Inc. | $10.9K | 702 | 0.00% | 7q | HELD |
| Pflug Koory, LLC | $10.4K | 675 | 0.00% | 21q | HELD |
| Farther Finance Advisors, LLC | $10.3K | 666 | 0.00% | 6q | +1.2% |
| CREATIVE FINANCIAL DESIGNS INC /ADV | $9.3K | 600 | 0.00% | 14q | HELD |
| FIDUCIARY FINANCIAL ADVISORS | $9.1K | 586 | 0.00% | new | NEW |
| Tower Research Capital LLC (TRC) | $8.1K | 525 | 0.00% | 8q | -12.8%-$1.2K |
| US BANCORP \DE\ | $6.6K | 426 | 0.00% | new | NEW |
| SIGNATUREFD, LLC | $6.0K | 388 | 0.00% | 22q | -64.1%-$10.7K |
| Markowski Investments | $4.6K | 300 | 0.00% | new | FIRST |
| Larson Financial Group LLC | $3.7K | 239 | 0.00% | 13q | +1.3% |
| Parallel Advisors, LLC | $3.4K | 221 | 0.00% | 15q | HELD |
| VALLEY NATIONAL ADVISERS INC | $2.3K | 150 | 0.00% | 25q | HELD |
| ASSETMARK, INC | $1.8K | 117 | 0.00% | 5q | -81.2%-$7.8K |
| JNBA Financial Advisors | $1.7K | 111 | 0.00% | new | NEW |
| OAKWORTH CAPITAL, INC. | $1.6K | 100 | 0.00% | 5q | HELD |
| JFS WEALTH ADVISORS, LLC | $696 | 45 | 0.00% | new | NEW |
| BNP PARIBAS FINANCIAL MARKETS | $232 | 15 | 0.00% | 2q | +7.1% |
| HARBOUR INVESTMENTS, INC. | $155 | 10 | 0.00% | 15q | HELD |
| Rialto Wealth Management, LLC | $109 | 7 | 0.00% | new | NEW |
| HUNTINGTON NATIONAL BANK | $15 | 1 | 0.00% | 2q | HELD |
What the company announced
Form 8-K filings from the last 120 days, showing only the items worth a reader's attention. Earnings releases, exhibit attachments and general disclosures are filed constantly and are left out. Filed is when the SEC received it; event is the date the company says the thing happened.
| Filed | Event date | What | Source |
|---|---|---|---|
| 2026-10-26 | 2026-10-22 | Directors or officers departed or appointed | filing |
| 2026-10-01 | 2026-10-01 | Directors or officers departed or appointed | filing |
Quarter by quarter
Coverage begins with the quarter ending 2018-12-31. Earlier filings exist only as occasional late amendments, too sparse to describe a market, so they are not shown.
| Quarter | Holders | Value | Shares | New | Added | Trimmed | Options |
|---|---|---|---|---|---|---|---|
| Q3 2026 | 23 | $15.8M | 1,015,935 | 2 | 6 | 3 | 0.0% |
| Q2 2026 | 95 | $114.2M | 6,817,969 | 14 | 22 | 30 | 7.7% |
| Q1 2026 | 92 | $99.0M | 6,833,271 | 15 | 27 | 26 | 1.9% |
| Q4 2025 | 93 | $94.1M | 6,652,402 | 16 | 26 | 26 | 1.3% |
| Q3 2025 | 89 | $85.9M | 6,113,132 | 16 | 30 | 20 | 1.6% |
| Q2 2025 | 86 | $82.3M | 5,617,734 | 12 | 34 | 21 | 2.6% |
| Q1 2025 | 87 | $73.7M | 5,376,553 | 10 | 29 | 23 | 2.5% |
| Q4 2024 | 87 | $70.8M | 5,184,630 | 12 | 24 | 26 | 2.9% |
| Q3 2024 | 82 | $76.3M | 5,025,650 | 14 | 21 | 26 | 3.1% |
| Q2 2024 | 84 | $79.5M | 5,465,738 | 14 | 23 | 25 | 3.9% |
| Q1 2024 | 81 | $81.0M | 5,446,933 | 7 | 26 | 29 | 4.3% |
| Q4 2023 | 92 | $66.3M | 4,489,777 | 20 | 32 | 17 | 4.1% |
| Q3 2023 | 75 | $53.0M | 4,055,273 | 11 | 21 | 23 | 2.5% |
| Q2 2023 | 77 | $54.3M | 4,025,005 | 9 | 19 | 26 | 3.4% |
| Q1 2023 | 77 | $62.0M | 4,489,766 | 4 | 28 | 22 | 4.1% |
| Q4 2022 | 84 | $64.5M | 4,897,948 | 19 | 29 | 13 | 2.0% |
| Q3 2022 | 74 | $107.0M | 8,730,074 | 9 | 21 | 21 | 1.2% |
| Q2 2022 | 75 | $120.3M | 8,453,240 | 14 | 22 | 21 | 1.1% |
| Q1 2022 | 72 | $136.4M | 8,353,986 | 9 | 19 | 24 | 1.2% |
| Q4 2021 | 68 | $146.8M | 8,571,202 | 11 | 18 | 22 | 0.3% |
| Q3 2021 | 70 | $143.0M | 10,137,556 | 9 | 21 | 23 | 0.7% |
| Q2 2021 | 70 | $133.6M | 9,213,883 | 6 | 27 | 21 | 0.7% |
| Q1 2021 | 73 | $116.4M | 9,387,242 | 11 | 22 | 26 | 1.5% |
| Q4 2020 | 74 | $92.6M | 9,034,387 | 13 | 23 | 20 | 1.6% |
| Q3 2020 | 69 | $98.4M | 10,675,114 | 13 | 13 | 25 | 1.2% |
| Q2 2020 | 70 | $112.2M | 10,880,629 | 16 | 13 | 23 | 0.8% |
| Q1 2020 | 75 | $88.9M | 11,224,330 | 12 | 25 | 23 | 0.5% |
| Q4 2019 | 76 | $143.0M | 10,764,908 | 14 | 26 | 15 | 0.3% |
| Q3 2019 | 66 | $120.9M | 9,705,160 | 15 | 22 | 6 | 1.2% |
| Q2 2019 | 60 | $111.2M | 9,596,445 | 6 | 18 | 21 | 3.1% |
| Q1 2019 | 69 | $110.5M | 9,389,271 | 11 | 21 | 23 | 1.1% |
| Q4 2018 | 67 | $89.7M | 9,492,370 | 2 | 1 | 3 | 0.8% |