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

Institutional Holders (2016Q2)
Portfolio Summary: 43 Institutional holders with a total value of $47,562,644.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 UBS Group AG 356,406 8,026,000 16.87%
2 Advisors Asset Management, Inc. 259,264 5,839,000 12.28%
3 GUGGENHEIM CAPITAL LLC 219,633 4,946,000 10.40%
4 BAIRD FINANCIAL GROUP, INC. 212,851 4,794,000 10.08%
5 SIT INVESTMENT ASSOCIATES INC 193,773 4,364,000 9.18%
6 Invesco Ltd. 152,367 3,431,000 7.21%
7 MORGAN STANLEY 128,158 2,886,000 6.07%
8 BANK OF AMERICA CORP /DE/ 74,768 1,684,000 3.54%
9 BESSEMER GROUP INC 65,444 1,474,000 3.10%
10 STIFEL FINANCIAL CORP 50,210 1,131,000 2.38%
11 INVESTMENT CENTERS OF AMERICA INC 49,893 1,125,000 2.37%
12 LPL Financial LLC 39,060 893,000 1.88%
13 TELEMUS CAPITAL, LLC 36,865 830,000 1.75%
14 Commonwealth Equity Services, Inc 34,723 782,000 1.64%
15 ROYAL BANK OF CANADA 28,168 634,000 1.33%
16 Capital Investment Advisors, LLC 25,507 574,000 1.21%
17 Paloma Partners Management Co 24,000 540,000 1.14%
18 Aviance Capital Partners, LLC 22,293 502,000 1.06%
19 Investors Capital Advisory Services 17,363 391,000 0.82%
20 Pinnacle Advisory Group, Inc. 17,330 390,000 0.82%
21 LADENBURG THALMANN FINANCIAL SERVICES INC. 15,454 348,000 0.73%
22 SG Americas Securities, LLC 15,056 339,000 0.71%
23 SOCIETE GENERALE 15,056 339,000 0.71%
24 DELPHI FINANCIAL GROUP, INC. 11,250 254,000 0.53%
25 CSS LLC/IL 10,606 239,000 0.50%
26 LEBENTHAL ASSET MANAGEMENT, LLC 9,000 203,000 0.43%
27 Lebenthal Holdings,LLC 9,000 203,000 0.43%
28 WELLS FARGO & COMPANY/MN 3,128 70,000 0.15%
29 IFP ADVISORS, INC 2,692 61,000 0.13%
30 Global X Management CO LLC 2,139 48,000 0.10%
31 NEXT Financial Group, Inc 2,119 47,000 0.10%
32 MSI Financial Services Inc 1,953 44,000 0.09%
33 Creative Planning 1,625 37,000 0.08%
34 Highlander Capital Management, LLC 1,064 24,000 0.05%
35 CITIGROUP INC 680 15,000 0.03%
36 ADVISOR GROUP, INC. 600 13,000 0.03%
37 WHITTIER TRUST CO 450 10,000 0.02%
38 HOWE & RUSLING INC 430 10,000 0.02%
39 Barrett Asset Management, LLC 402 9,000 0.02%
40 Tower Research Capital LLC (TRC) 200 5,000 0.01%
41 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 172 4,000 0.01%
42 PENSERRA CAPITAL MANAGEMENT LLC 148 3,000 0.01%
43 WOLVERINE TRADING LP /BD 73 1,644 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.