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VOYA RISK
VOYA RISK. Institutional holdings reported to the SEC.

Institutional Holders (2014Q2)
Portfolio Summary: 33 Institutional holders with a total value of $37,018,092.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 NEWGATE CAPITAL MANAGEMENT LLC 659,945 7,589,000 20.50%
2 MORGAN STANLEY 569,727 6,552,000 17.70%
3 GUGGENHEIM CAPITAL LLC 520,180 5,981,000 16.16%
4 CORNERSTONE ADVISORS INC 222,002 2,553,000 6.90%
5 Invesco Ltd. 208,085 2,393,000 6.46%
6 BB&T SECURITIES, LLC 20,263 2,330,000 6.29%
7 RAYMOND JAMES & ASSOCIATES 158,865 1,827,000 4.94%
8 LPL Financial LLC 152,258 1,751,000 4.73%
9 AQR CAPITAL MANAGEMENT LLC 84,094 967,000 2.61%
10 NEW ENGLAND SECURITIES CORP /MA/ 53,781 618,000 1.67%
11 PARAMETRIC PORTFOLIO ASSOCIATES LLC 53,680 617,000 1.67%
12 Raymond James Financial Services Advisors, Inc. 43,970 506,000 1.37%
13 WELLS FARGO & COMPANY/MN 34,730 399,000 1.08%
14 AMERICAN INTERNATIONAL GROUP, INC. 31,700 364,550 0.98%
15 NATIONAL PLANNING CORP 30,700 353,000 0.95%
16 UBS AG 27,720 319,000 0.86%
17 BANK OF AMERICA CORP /DE/ 26,367 303,000 0.82%
18 PNC FINANCIAL SERVICES GROUP, INC. 26,200 302,000 0.82%
19 Investors Capital Advisory Services 19,575 225,000 0.61%
20 WEDBUSH SECURITIES INC 13,850 159,000 0.43%
21 NORTHERN TRUST CORP 13,231 152,000 0.41%
22 Aviance Capital Partners, LLC 13,200 152,000 0.41%
23 ROYAL BANK OF CANADA 11,857 137,000 0.37%
24 Thomas J. Herzfeld Advisors, Inc. 10,250 118,000 0.32%
25 DEUTSCHE BANK AG\ 8,730 100,000 0.27%
26 Advisors Asset Management, Inc. 6,998 80,000 0.22%
27 B. Riley Wealth Advisors, Inc. 6,395 73,542 0.20%
28 CITIGROUP INC 3,623 42,000 0.11%
29 AMERIPRISE FINANCIAL INC 2,404 28,000 0.08%
30 Cordasco Financial Network 1,698 20,000 0.05%
31 LADENBURG THALMANN FINANCIAL SERVICES INC. 337 4,000 0.01%
32 Tower Research Capital LLC (TRC) 206 2,000 0.01%
33 MUFG Americas Holdings Corp 51 1,000 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.