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

Institutional Holders (2016Q3)
Portfolio Summary: 46 Institutional holders with a total value of $94,325,277.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,133,527 19,360,000 20.52%
2 UBS Group AG 706,404 12,065,000 12.79%
3 WELLS FARGO & COMPANY/MN 622,267 10,629,000 11.27%
4 GUGGENHEIM CAPITAL LLC 455,261 7,776,000 8.24%
5 Advisors Asset Management, Inc. 416,301 7,110,000 7.54%
6 RAYMOND JAMES & ASSOCIATES 361,032 6,167,000 6.54%
7 FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD 285,769 4,881,000 5.17%
8 CORNERSTONE ADVISORS INC 191,529 3,271,000 3.47%
9 PROFICIO CAPITAL PARTNERS LLC 181,809 3,105,000 3.29%
10 ROYAL BANK OF CANADA 141,150 2,411,000 2.56%
11 JANUS HENDERSON INVESTORS US LLC 131,101 2,239,000 2.37%
12 DOLIVER ADVISORS, LP 98,744 1,687,000 1.79%
13 STIFEL FINANCIAL CORP 88,147 1,508,000 1.60%
14 Raymond James Financial Services Advisors, Inc. 70,474 1,204,000 1.28%
15 CITIGROUP INC 64,524 1,102,000 1.17%
16 BANK OF AMERICA CORP /DE/ 63,225 1,080,000 1.14%
17 LPL Financial LLC 55,770 926,000 0.98%
18 1607 Capital Partners, LLC 47,784 816,000 0.87%
19 Invesco Ltd. 45,082 770,000 0.82%
20 BERGANKDV WEALTH MANAGEMENT, LLC 40,362 689,000 0.73%
21 LADENBURG THALMANN FINANCIAL SERVICES INC. 38,939 665,000 0.71%
22 Jaffetilchin Investment Partners, LLC 37,262 636,000 0.67%
23 ZAZOVE ASSOCIATES LLC 33,833 578,000 0.61%
24 Coe Capital Management, LLC 35,000 540,750 0.57%
25 JPMORGAN CHASE & CO 30,976 529,000 0.56%
26 Janney Montgomery Scott LLC 29,192 499,000 0.53%
27 NINE MASTS CAPITAL Ltd 22,400 383,000 0.41%
28 Commonwealth Equity Services, Inc 21,971 375,000 0.40%
29 Bank of New York Mellon Corp 19,804 338,000 0.36%
30 BROWN ADVISORY INC 15,000 256,000 0.27%
31 HighTower Advisors, LLC 10,374 177,000 0.19%
32 PNC FINANCIAL SERVICES GROUP, INC. 6,487 110,000 0.12%
33 MSI Financial Services Inc 5,930 101,000 0.11%
34 IFP ADVISORS, INC 3,818 65,000 0.07%
35 GENEOS WEALTH MANAGEMENT INC. 3,300 56,000 0.06%
36 Creative Planning 3,250 56,000 0.06%
37 D.A. DAVIDSON & CO. 3,050 52,000 0.06%
38 Ledyard National Bank 1,875 32,000 0.03%
39 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 1,000 17,000 0.02%
40 Brick & Kyle, Associates 919 16,000 0.02%
41 RISK PARADIGM GROUP, LLC 792 13,527 0.01%
42 NEXT Financial Group, Inc 770 13,000 0.01%
43 Community Bank, N.A. 600 10,000 0.01%
44 MANUFACTURERS LIFE INSURANCE COMPANY, THE 505 9,000 0.01%
45 SEI INVESTMENTS CO 32 1,000 0.00%
46 Cable Hill Partners, LLC 79 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.