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

Institutional Holders (2014Q3)
Portfolio Summary: 38 Institutional holders with a total value of $49,970,700.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 757,766 10,109,000 20.23%
2 GUGGENHEIM CAPITAL LLC 455,217 6,073,000 12.15%
3 Invesco Ltd. 400,485 5,342,000 10.69%
4 MORGAN STANLEY 226,935 3,027,000 6.06%
5 BANK OF AMERICA CORP /DE/ 207,085 2,763,000 5.53%
6 RAYMOND JAMES & ASSOCIATES 204,371 2,726,000 5.46%
7 UBS AG 201,829 2,692,000 5.39%
8 Advisors Asset Management, Inc. 173,217 2,311,000 4.62%
9 LPL Financial LLC 155,015 2,038,000 4.08%
10 Aviance Capital Partners, LLC 142,300 1,898,000 3.80%
11 Formidable Asset Management, LLC 131,298 1,786,000 3.57%
12 STIFEL FINANCIAL CORP 111,601 1,489,000 2.98%
13 Concert Wealth Management Inc. 67,288 895,000 1.79%
14 WOLVERINE ASSET MANAGEMENT LLC 67,083 894,000 1.79%
15 Financial Sense Advisors, Inc. 59,900 799,000 1.60%
16 Benchmark Capital Advisors 46,200 616,000 1.23%
17 LADENBURG THALMANN FINANCIAL SERVICES INC. 38,520 515,000 1.03%
18 Shaker Financial Services, LLC 33,135 442,000 0.88%
19 Cambridge Investment Research Advisors, Inc. 30,331 405,000 0.81%
20 Virtu KCG Holdings LLC 29,349 392,000 0.78%
21 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 28,070 374,000 0.75%
22 KEYBANK NATIONAL ASSOCIATION/OH 24,410 326,000 0.65%
23 ROYAL BANK OF CANADA 22,959 306,000 0.61%
24 AMERICAN INTERNATIONAL GROUP, INC. 17,887 238,618 0.48%
25 First Allied Advisory Services, Inc. 16,797 224,000 0.45%
26 Commonwealth Equity Services, Inc 15,690 209,000 0.42%
27 J.P. Morgan Private Wealth Advisors LLC 14,435 193,000 0.39%
28 USCA RIA LLC 14,465 193,000 0.39%
29 NATIONAL PLANNING CORP 13,100 173,000 0.35%
30 BNP PARIBAS FINANCIAL MARKETS 12,300 164,082 0.33%
31 MSI Financial Services Inc 11,755 157,000 0.31%
32 CITIGROUP INC 6,092 81,000 0.16%
33 BANK OF MONTREAL /CAN/ 2,223 30,000 0.06%
34 Creative Planning 2,022 27,000 0.05%
35 WESTPORT RESOURCES MANAGEMENT INC 1,500 20,000 0.04%
36 Pinnacle Summer Investments, Inc. 1,449 19,000 0.04%
37 NEW ENGLAND SECURITIES CORP /MA/ 1,015 14,000 0.03%
38 SECURITY NATIONAL TRUST CO 725 10,000 0.02%

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.