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DOW 30 PREMIUM & DIV INC FD
DOW 30 PREMIUM & DIV INC FD. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 29 Institutional holders with a total value of $15,681,723.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Invesco Ltd. 166,570 2,600,000 16.58%
2 Commonwealth Equity Services, Inc 143,725 2,244,000 14.31%
3 Private Advisor Group, LLC 104,514 1,631,000 10.40%
4 BANK OF AMERICA CORP /DE/ 101,875 1,590,000 10.14%
5 UBS AG 77,121 1,204,000 7.68%
6 LPL Financial LLC 69,771 1,079,000 6.88%
7 MORGAN STANLEY 66,954 1,045,000 6.66%
8 SCHNIEDERS CAPITAL MANAGEMENT LLC 37,185 580,000 3.70%
9 LADENBURG THALMANN FINANCIAL SERVICES INC. 36,691 573,000 3.65%
10 WELLS FARGO & COMPANY/MN 35,188 549,000 3.50%
11 Investors Capital Advisory Services 27,178 424,000 2.70%
12 COHEN & STEERS, INC. 25,924 405,000 2.58%
13 WFG Advisors, LP 24,122 377,000 2.40%
14 OPPENHEIMER & CO INC 16,898 264,000 1.68%
15 ROYAL BANK OF CANADA 13,889 216,000 1.38%
16 HL FINANCIAL SERVICES LLC 13,000 203,000 1.29%
17 Janney Montgomery Scott LLC 11,672 182,200 1.16%
18 WOLVERINE ASSET MANAGEMENT LLC 10,377 161,000 1.03%
19 Creative Planning 10,009 156,000 0.99%
20 PNC FINANCIAL SERVICES GROUP, INC. 5,054 79,000 0.50%
21 Apriem Advisors 2,767 43,000 0.27%
22 SECURITY NATIONAL TRUST CO 2,350 37,000 0.24%
23 NEXT Financial Group, Inc 900 14,000 0.09%
24 AMERICAN INTERNATIONAL GROUP, INC. 546 8,523 0.05%
25 SRH ADVISORS, LLC 300 5,000 0.03%
26 AMERICAN ASSET MANAGEMENT INC. 324 5,000 0.03%
27 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 200 3,000 0.02%
28 CITIGROUP INC 217 3,000 0.02%
29 Kistler-Tiffany Companies, LLC 52 1,000 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.