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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 WOLVERINE TRADING LP /BD 73 1,644 0.00%
2 PENSERRA CAPITAL MANAGEMENT LLC 148 3,000 0.01%
3 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 172 4,000 0.01%
4 Tower Research Capital LLC (TRC) 200 5,000 0.01%
5 Barrett Asset Management, LLC 402 9,000 0.02%
6 HOWE & RUSLING INC 430 10,000 0.02%
7 WHITTIER TRUST CO 450 10,000 0.02%
8 ADVISOR GROUP, INC. 600 13,000 0.03%
9 CITIGROUP INC 680 15,000 0.03%
10 Highlander Capital Management, LLC 1,064 24,000 0.05%
11 Creative Planning 1,625 37,000 0.08%
12 MSI Financial Services Inc 1,953 44,000 0.09%
13 NEXT Financial Group, Inc 2,119 47,000 0.10%
14 Global X Management CO LLC 2,139 48,000 0.10%
15 IFP ADVISORS, INC 2,692 61,000 0.13%
16 WELLS FARGO & COMPANY/MN 3,128 70,000 0.15%
17 LEBENTHAL ASSET MANAGEMENT, LLC 9,000 203,000 0.43%
18 Lebenthal Holdings,LLC 9,000 203,000 0.43%
19 CSS LLC/IL 10,606 239,000 0.50%
20 DELPHI FINANCIAL GROUP, INC. 11,250 254,000 0.53%
21 SOCIETE GENERALE 15,056 339,000 0.71%
22 SG Americas Securities, LLC 15,056 339,000 0.71%
23 LADENBURG THALMANN FINANCIAL SERVICES INC. 15,454 348,000 0.73%
24 Pinnacle Advisory Group, Inc. 17,330 390,000 0.82%
25 Investors Capital Advisory Services 17,363 391,000 0.82%
26 Aviance Capital Partners, LLC 22,293 502,000 1.06%
27 Paloma Partners Management Co 24,000 540,000 1.14%
28 Capital Investment Advisors, LLC 25,507 574,000 1.21%
29 ROYAL BANK OF CANADA 28,168 634,000 1.33%
30 Commonwealth Equity Services, Inc 34,723 782,000 1.64%
31 TELEMUS CAPITAL, LLC 36,865 830,000 1.75%
32 LPL Financial LLC 39,060 893,000 1.88%
33 INVESTMENT CENTERS OF AMERICA INC 49,893 1,125,000 2.37%
34 STIFEL FINANCIAL CORP 50,210 1,131,000 2.38%
35 BESSEMER GROUP INC 65,444 1,474,000 3.10%
36 BANK OF AMERICA CORP /DE/ 74,768 1,684,000 3.54%
37 MORGAN STANLEY 128,158 2,886,000 6.07%
38 Invesco Ltd. 152,367 3,431,000 7.21%
39 SIT INVESTMENT ASSOCIATES INC 193,773 4,364,000 9.18%
40 BAIRD FINANCIAL GROUP, INC. 212,851 4,794,000 10.08%
41 GUGGENHEIM CAPITAL LLC 219,633 4,946,000 10.40%
42 Advisors Asset Management, Inc. 259,264 5,839,000 12.28%
43 UBS Group AG 356,406 8,026,000 16.87%

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.