| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | GUGGENHEIM CAPITAL LLC | 314,593 | 4,217,000 | 28.03% | ||
| 2 | Advisors Asset Management, Inc. | 285,867 | 3,833,000 | 25.47% | ||
| 3 | WELLS FARGO & COMPANY/MN | 118,764 | 1,592,000 | 10.58% | ||
| 4 | MORGAN STANLEY | 117,605 | 1,577,000 | 10.48% | ||
| 5 | UBS Group AG | 91,424 | 1,226,000 | 8.15% | ||
| 6 | Commonwealth Equity Services, Inc | 46,082 | 618,000 | 4.11% | ||
| 7 | LPL Financial LLC | 38,244 | 514,000 | 3.42% | ||
| 8 | BANK OF AMERICA CORP /DE/ | 37,856 | 508,000 | 3.38% | ||
| 9 | BARD ASSOCIATES INC | 19,250 | 258,000 | 1.71% | ||
| 10 | Invesco Ltd. | 17,110 | 229,000 | 1.52% | ||
| 11 | ROYAL BANK OF CANADA | 13,114 | 176,000 | 1.17% | ||
| 12 | AMERICAN INTERNATIONAL GROUP, INC. | 7,597 | 101,875 | 0.68% | ||
| 13 | FIFTH THIRD BANCORP | 4,000 | 54,000 | 0.36% | ||
| 14 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 2,171 | 29,000 | 0.19% | ||
| 15 | US BANCORP \DE\ | 2,188 | 29,000 | 0.19% | ||
| 16 | PNC FINANCIAL SERVICES GROUP, INC. | 2,000 | 26,000 | 0.17% | ||
| 17 | Winslow, Evans & Crocker, Inc. | 1,800 | 24,138 | 0.16% | ||
| 18 | BENJAMIN F. EDWARDS & COMPANY, INC. | 1,100 | 15,000 | 0.10% | ||
| 19 | Tower Research Capital LLC (TRC) | 1,000 | 13,000 | 0.09% | ||
| 20 | CANADA LIFE ASSURANCE Co | 500 | 7,000 | 0.05% |
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.
