| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | GUGGENHEIM CAPITAL LLC | 270,699 | 3,997,000 | 23.66% | ||
| 2 | MORGAN STANLEY | 188,349 | 2,780,000 | 16.46% | ||
| 3 | Advisors Asset Management, Inc. | 135,081 | 1,994,000 | 11.80% | ||
| 4 | UBS Group AG | 119,902 | 1,770,000 | 10.48% | ||
| 5 | BANK OF AMERICA CORP /DE/ | 73,651 | 1,087,000 | 6.43% | ||
| 6 | LPL Financial LLC | 72,657 | 1,072,000 | 6.35% | ||
| 7 | GOLDMAN SACHS GROUP INC | 46,084 | 680,000 | 4.03% | ||
| 8 | AQR ARBITRAGE LLC | 36,494 | 539,000 | 3.19% | ||
| 9 | RAYMOND JAMES & ASSOCIATES | 28,650 | 423,000 | 2.50% | ||
| 10 | MACKAY SHIELDS LLC | 22,040 | 325,000 | 1.92% | ||
| 11 | WELLS FARGO & COMPANY/MN | 17,118 | 252,000 | 1.49% | ||
| 12 | PEAPACK GLADSTONE FINANCIAL CORP | 16,852 | 248,736 | 1.47% | ||
| 13 | Private Advisor Group, LLC | 16,700 | 246,000 | 1.46% | ||
| 14 | DOLIVER ADVISORS, LP | 15,853 | 234,000 | 1.39% | ||
| 15 | TDAM USA INC. | 15,866 | 234,000 | 1.39% | ||
| 16 | Virtu KCG Holdings LLC | 13,524 | 200,000 | 1.18% | ||
| 17 | Commonwealth Equity Services, Inc | 12,000 | 177,000 | 1.05% | ||
| 18 | MARINER INVESTMENT GROUP LLC | 11,020 | 163,000 | 0.96% | ||
| 19 | POINTE CAPITAL MANAGEMENT LLC | 11,000 | 162,000 | 0.96% | ||
| 20 | AMERICAN INTERNATIONAL GROUP, INC. | 7,800 | 115,128 | 0.68% | ||
| 21 | FIFTH THIRD BANCORP | 6,615 | 98,000 | 0.58% | ||
| 22 | ROYAL BANK OF CANADA | 2,000 | 30,000 | 0.18% | ||
| 23 | Advisory Services Network, LLC | 1,925 | 29,000 | 0.17% | ||
| 24 | MSI Financial Services Inc | 1,347 | 20,000 | 0.12% | ||
| 25 | CITIGROUP INC | 825 | 12,000 | 0.07% | ||
| 26 | FIRST MANHATTAN CO. LLC. | 425 | 6,000 | 0.04% | ||
| 27 | NewSquare Capital LLC | 33 | 0 | 0.00% |
From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.
