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DOW 30 ENHANCED PREMIUM & IN
DOW 30 ENHANCED PREMIUM & IN. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 40 Institutional holders with a total value of $43,122,078.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 440,760 5,906,000 13.70%
2 Invesco Ltd. 416,992 5,587,000 12.96%
3 GUGGENHEIM CAPITAL LLC 401,351 5,379,000 12.47%
4 RAYMOND JAMES & ASSOCIATES 250,682 3,359,000 7.79%
5 Advisors Asset Management, Inc. 230,653 3,091,000 7.17%
6 MORGAN STANLEY 214,625 2,876,000 6.67%
7 BANK OF AMERICA CORP /DE/ 200,583 2,688,000 6.23%
8 UBS AG 189,870 2,544,000 5.90%
9 LPL Financial LLC 153,347 2,055,000 4.77%
10 Formidable Asset Management, LLC 130,748 1,749,000 4.06%
11 Aviance Capital Partners, LLC 112,125 1,506,077 3.49%
12 Concert Wealth Management Inc. 68,391 913,000 2.12%
13 Financial Sense Advisors, Inc. 57,550 771,000 1.79%
14 Benchmark Capital Advisors 47,000 630,000 1.46%
15 LADENBURG THALMANN FINANCIAL SERVICES INC. 38,520 517,000 1.20%
16 Cambridge Investment Research Advisors, Inc. 32,716 438,000 1.02%
17 First Allied Advisory Services, Inc. 29,100 387,000 0.90%
18 KEYBANK NATIONAL ASSOCIATION/OH 24,410 327,000 0.76%
19 ROYAL BANK OF CANADA 22,588 303,000 0.70%
20 BNP PARIBAS FINANCIAL MARKETS 21,817 294,311 0.68%
21 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 18,641 250,000 0.58%
22 J.P. Morgan Private Wealth Advisors LLC 14,435 193,000 0.45%
23 Commonwealth Equity Services, Inc 14,197 190,000 0.44%
24 NATIONAL PLANNING CORP 13,100 176,000 0.41%
25 Fisher Asset Management, LLC 12,900 173,000 0.40%
26 MSI Financial Services Inc 12,665 170,000 0.39%
27 GOLDMAN SACHS GROUP INC 10,665 143,000 0.33%
28 Wilmington Trust, National Association 10,000 134,000 0.31%
29 CITIGROUP INC 6,079 81,000 0.19%
30 AMERICAN INTERNATIONAL GROUP, INC. 5,350 71,690 0.17%
31 SECURITY NATIONAL TRUST CO 4,475 60,000 0.14%
32 BANK OF MONTREAL /CAN/ 2,223 30,000 0.07%
33 PNC FINANCIAL SERVICES GROUP, INC. 1,530 21,000 0.05%
34 NEW ENGLAND SECURITIES CORP /MA/ 1,575 21,000 0.05%
35 WESTPORT RESOURCES MANAGEMENT INC 1,500 20,000 0.05%
36 Pinnacle Summer Investments, Inc. 1,449 20,000 0.05%
37 Creative Planning 1,167 16,000 0.04%
38 Partnervest Advisory Services LLC 1,020 14,000 0.03%
39 Crosspoint Capital Strategies, LLC 1,041 14,000 0.03%
40 Tower Research Capital LLC (TRC) 270 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.