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

Institutional Holders (2016Q3)
Portfolio Summary: 41 Institutional holders with a total value of $43,935,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 UBS Group AG 292,189 6,551,000 14.91%
2 GUGGENHEIM CAPITAL LLC 258,238 5,790,000 13.18%
3 BAIRD FINANCIAL GROUP, INC. 215,307 4,827,000 10.99%
4 Advisors Asset Management, Inc. 207,043 4,642,000 10.57%
5 Invesco Ltd. 157,245 3,526,000 8.03%
6 MORGAN STANLEY 148,824 3,336,000 7.59%
7 BANK OF AMERICA CORP /DE/ 86,681 1,943,000 4.42%
8 BESSEMER GROUP INC 65,444 1,467,000 3.34%
9 Paloma Partners Management Co 56,700 1,271,000 2.89%
10 STIFEL FINANCIAL CORP 48,612 1,090,000 2.48%
11 ROYAL BANK OF CANADA 44,008 986,000 2.24%
12 Commonwealth Equity Services, Inc 42,059 943,000 2.15%
13 LADENBURG THALMANN FINANCIAL SERVICES INC. 41,348 927,000 2.11%
14 INVESTMENT CENTERS OF AMERICA INC 40,767 914,000 2.08%
15 ZAZOVE ASSOCIATES LLC 37,929 850,000 1.93%
16 TELEMUS CAPITAL, LLC 36,865 827,000 1.88%
17 Arlington Capital Management, Inc. 35,240 790,000 1.80%
18 Aviance Capital Partners, LLC 24,933 559,000 1.27%
19 Capital Investment Advisors, LLC 24,899 558,000 1.27%
20 LPL Financial LLC 23,534 522,000 1.19%
21 Pinnacle Advisory Group, Inc. 13,955 309,000 0.70%
22 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 12,183 273,000 0.62%
23 DELPHI FINANCIAL GROUP, INC. 11,250 252,000 0.57%
24 ALLEGIS INVESTMENT ADVISORS, LLC 8,980 201,000 0.46%
25 ADVISOR GROUP, INC. 5,293 118,000 0.27%
26 Global X Management CO LLC 3,956 89,000 0.20%
27 WELLS FARGO & COMPANY/MN 2,952 66,000 0.15%
28 IFP ADVISORS, INC 2,692 60,000 0.14%
29 NEXT Financial Group, Inc 2,172 49,000 0.11%
30 MSI Financial Services Inc 1,964 44,000 0.10%
31 Creative Planning 1,425 32,000 0.07%
32 Parkside Financial Bank & Trust 1,305 29,000 0.07%
33 Highlander Capital Management, LLC 1,064 24,000 0.05%
34 CITIGROUP INC 680 15,000 0.03%
35 Edge Wealth Management LLC 566 13,000 0.03% SH
36 FIRST PREMIER BANK 500 11,000 0.03%
37 WHITTIER TRUST CO 450 10,000 0.02%
38 Barrett Asset Management, LLC 402 9,000 0.02%
39 People's United Financial, Inc. 200 4,000 0.01%
40 PENSERRA CAPITAL MANAGEMENT LLC 200 4,000 0.01%
41 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 172 4,000 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.