| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | GUGGENHEIM CAPITAL LLC | 252,373 | 3,973,000 | 20.79% | ||
| 2 | GFS Advisors, LLC | 55,090 | 3,500,000 | 18.32% | ||
| 3 | USCA RIA LLC | 55,090 | 3,500,000 | 18.32% | ||
| 4 | UBS Group AG | 128,121 | 2,017,000 | 10.56% | ||
| 5 | Invesco Ltd. | 72,358 | 1,139,000 | 5.96% | ||
| 6 | CITIGROUP INC | 65,883 | 1,037,000 | 5.43% | ||
| 7 | BANK OF AMERICA CORP /DE/ | 47,789 | 752,000 | 3.94% | ||
| 8 | Focused Wealth Management, Inc | 39,173 | 617,000 | 3.23% | ||
| 9 | Harbour Capital Advisors, LLC | 30,650 | 482,000 | 2.52% | ||
| 10 | Joel Isaacson & Co., LLC | 30,000 | 472,000 | 2.47% | ||
| 11 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 23,692 | 373,000 | 1.95% | ||
| 12 | MSI Financial Services Inc | 21,760 | 343,000 | 1.79% | ||
| 13 | MORGAN STANLEY | 19,190 | 302,000 | 1.58% | ||
| 14 | ROYAL BANK OF CANADA | 12,901 | 203,000 | 1.06% | ||
| 15 | RAYMOND JAMES & ASSOCIATES | 12,848 | 202,000 | 1.06% | ||
| 16 | WELLS FARGO & COMPANY/MN | 4,428 | 70,000 | 0.37% | ||
| 17 | Creative Planning | 3,726 | 59,000 | 0.31% | ||
| 18 | GUPTA WEALTH MANAGEMENT LLC | 2,000 | 31,000 | 0.16% | ||
| 19 | AMERICAN INTERNATIONAL GROUP, INC. | 1,920 | 30,000 | 0.16% | ||
| 20 | Tower Research Capital LLC (TRC) | 441 | 7,000 | 0.04% |
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.
