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BROOKFIELD TOTAL RETURN FD I
BROOKFIELD TOTAL RETURN FD I. Institutional holdings reported to the SEC.

Institutional Holders (2016Q1)
Portfolio Summary: 40 Institutional holders with a total value of $57,858,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 SIT INVESTMENT ASSOCIATES INC 455,213 11,030,000 19.06%
2 Advisors Asset Management, Inc. 316,899 7,678,000 13.27%
3 GUGGENHEIM CAPITAL LLC 315,629 7,647,000 13.22%
4 Invesco Ltd. 245,248 5,942,000 10.27%
5 BAIRD FINANCIAL GROUP, INC. 193,040 4,677,000 8.08%
6 UBS Group AG 142,633 3,456,000 5.97%
7 MORGAN STANLEY 121,190 2,936,000 5.07%
8 LPL Financial LLC 94,594 2,247,000 3.88%
9 BANK OF AMERICA CORP /DE/ 73,032 1,769,000 3.06%
10 Commonwealth Equity Services, Inc 49,219 1,193,000 2.06%
11 STIFEL FINANCIAL CORP 47,008 1,139,000 1.97%
12 BESSEMER GROUP INC 45,444 1,101,000 1.90%
13 INVESTMENT CENTERS OF AMERICA INC 41,281 999,000 1.73%
14 Raymond James Financial Services Advisors, Inc. 37,060 898,000 1.55%
15 TELEMUS CAPITAL, LLC 36,865 893,000 1.54%
16 CSS LLC/IL 36,106 875,000 1.51%
17 ROYAL BANK OF CANADA 27,100 657,000 1.14%
18 Capital Investment Advisors, LLC 25,891 627,000 1.08%
19 Aviance Capital Partners, LLC 18,281 443,000 0.77%
20 SG Americas Securities, LLC 15,056 365,000 0.63%
21 Lebenthal Holdings,LLC 11,500 279,000 0.48%
22 DELPHI FINANCIAL GROUP, INC. 11,250 273,000 0.47%
23 FIRST TRUST ADVISORS LP 9,047 219,000 0.38%
24 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,316 105,000 0.18%
25 IFP ADVISORS, INC 2,543 62,000 0.11%
26 WELLS FARGO & COMPANY/MN 2,528 61,000 0.11%
27 MSI Financial Services Inc 2,323 56,000 0.10%
28 NEXT Financial Group, Inc 2,067 50,000 0.09%
29 Creative Planning 1,525 37,000 0.06%
30 Global X Management CO LLC 1,420 34,000 0.06%
31 Highlander Capital Management, LLC 1,064 26,000 0.04%
32 CITIGROUP INC 680 16,000 0.03%
33 BENJAMIN F. EDWARDS & COMPANY, INC. 534 13,000 0.02%
34 WHITTIER TRUST CO 450 11,000 0.02%
35 HOWE & RUSLING INC 430 10,000 0.02%
36 ADVOCACY WEALTH MANAGEMENT SERVICES, LLC 400 10,000 0.02%
37 Barrett Asset Management, LLC 402 10,000 0.02%
38 PNC FINANCIAL SERVICES GROUP, INC. 300 7,000 0.01%
39 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 172 4,000 0.01%
40 PENSERRA CAPITAL MANAGEMENT LLC 148 3,000 0.01%

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.