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DUFF PHELPS UTLITY AND INF
DUFF PHELPS UTLITY AND INF. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 45 Institutional holders with a total value of $127,611,021.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Advisors Asset Management, Inc. 1,169,417 24,873,000 19.49%
2 MORGAN STANLEY 1,001,560 21,303,000 16.69%
3 WELLS FARGO & COMPANY/MN 907,091 19,294,000 15.12%
4 Invesco Ltd. 540,292 11,492,000 9.01%
5 GUGGENHEIM CAPITAL LLC 494,098 10,508,000 8.23%
6 Gramercy Funds Management LLC 276,968 5,891,000 4.62%
7 CORNERSTONE ADVISORS INC 230,024 4,893,000 3.83%
8 UBS AG 219,747 4,674,000 3.66%
9 Ledyard National Bank 183,315 3,899,000 3.06%
10 RAYMOND JAMES & ASSOCIATES 164,707 3,503,000 2.75%
11 PARAMETRIC PORTFOLIO ASSOCIATES LLC 159,342 3,389,000 2.66%
12 ROYAL BANK OF CANADA 123,349 2,624,000 2.06%
13 1607 Capital Partners, LLC 83,405 1,774,000 1.39%
14 NATIONAL PLANNING CORP 57,782 1,213,000 0.95%
15 FIRST TRUST ADVISORS LP 52,183 1,110,000 0.87%
16 BANK OF AMERICA CORP /DE/ 51,726 1,100,000 0.86%
17 LPL Financial LLC 43,306 923,000 0.72%
18 Assured Investment Management LLC 41,871 891,000 0.70%
19 KMS FINANCIAL SERVICES, INC 41,264 878,000 0.69%
20 SMITH, MOORE & CO. 28,193 600,000 0.47%
21 Formidable Asset Management, LLC 25,702 568,000 0.45%
22 CITIGROUP INC 19,434 414,000 0.32%
23 SignalPoint Asset Management, LLC 16,282 346,000 0.27%
24 HighTower Advisors, LLC 11,274 240,000 0.19%
25 WEDBUSH SECURITIES INC 10,451 222,000 0.17%
26 DEUTSCHE BANK AG\ 9,787 207,000 0.16%
27 MSI Financial Services Inc 8,000 170,000 0.13%
28 Community Financial Services Group, LLC 6,939 148,000 0.12%
29 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,877 104,000 0.08%
30 FIRST FINANCIAL CORP /IN/ 4,750 101,000 0.08%
31 Thomas J. Herzfeld Advisors, Inc. 2,410 51,000 0.04%
32 PNC FINANCIAL SERVICES GROUP, INC. 1,645 35,000 0.03%
33 FIFTH THIRD BANCORP 1,500 32,000 0.03%
34 NEW ENGLAND SECURITIES CORP /MA/ 1,150 24,000 0.02%
35 D.A. DAVIDSON & CO. 1,125 23,000 0.02%
36 ENVESTNET ASSET MANAGEMENT INC 1,004 21,000 0.02%
37 WOLVERINE ASSET MANAGEMENT LLC 726 15,000 0.01%
38 BENJAMIN F. EDWARDS & COMPANY, INC. 670 14,000 0.01%
39 NEXT Financial Group, Inc 634 13,000 0.01%
40 Exchange Capital Management, Inc. 500 11,000 0.01%
41 B. Riley Wealth Management, Inc. 331 7,000 0.01%
42 Lehman Financial Resources, Inc. 250 5,000 0.00%
43 US BANCORP \DE\ 250 5,000 0.00%
44 MUFG Americas Holdings Corp 113 2,000 0.00%
45 AMERICAN INTERNATIONAL GROUP, INC. 48 1,021 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.