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DUFF & PHELPS GLB UTL INC FD COM
DUFF & PHELPS GLB UTL INC FD COM. Institutional holdings reported to the SEC.

Institutional Holders (2017Q1)
Portfolio Summary: 42 Institutional holders with a total value of $83,297,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,215,017 19,757,000 23.72%
2 WELLS FARGO & COMPANY/MN 544,560 8,855,000 10.63%
3 Advisors Asset Management, Inc. 468,559 7,619,000 9.15%
4 GUGGENHEIM CAPITAL LLC 465,904 7,575,000 9.09%
5 RAYMOND JAMES & ASSOCIATES 435,491 7,081,000 8.50%
6 CORNERSTONE ADVISORS INC 258,360 4,201,000 5.04%
7 FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD 253,609 4,124,000 4.95%
8 CITIGROUP INC 183,157 2,978,000 3.58%
9 STIFEL FINANCIAL CORP 161,065 2,617,000 3.14%
10 ROYAL BANK OF CANADA 135,090 2,197,000 2.64%
11 BANK OF NOVA SCOTIA 92,001 1,496,000 1.80%
12 DOLIVER ADVISORS, LP 91,014 1,480,000 1.78%
13 BANK OF AMERICA CORP /DE/ 89,648 1,458,000 1.75%
14 JANUS HENDERSON INVESTORS US LLC 88,392 1,437,000 1.73%
15 Jaffetilchin Investment Partners, LLC 80,693 1,312,000 1.58%
16 Raymond James Financial Services Advisors, Inc. 72,393 1,177,000 1.41%
17 1607 Capital Partners, LLC 58,267 947,000 1.14%
18 LADENBURG THALMANN FINANCIAL SERVICES INC. 55,022 894,000 1.07%
19 Janney Montgomery Scott LLC 54,063 879,000 1.06%
20 AMERIPRISE FINANCIAL INC 43,150 702,000 0.84%
21 Invesco Ltd. 39,768 647,000 0.78%
22 LPL Financial LLC 36,942 606,000 0.73%
23 ZAZOVE ASSOCIATES LLC 33,833 550,000 0.66%
24 CLOUGH CAPITAL PARTNERS L P 25,000 407,000 0.49%
25 Bank of New York Mellon Corp 24,603 400,000 0.48%
26 Commonwealth Equity Services, Inc 19,052 310,000 0.37%
27 Laurion Capital Management LP 16,662 271,000 0.33%
28 BROWN ADVISORY INC 15,000 244,000 0.29%
29 WEDBUSH SECURITIES INC 13,374 217,000 0.26%
30 BB&T SECURITIES, LLC 12,333 200,000 0.24%
31 MILLENNIUM MANAGEMENT LLC 11,574 188,000 0.23%
32 Creative Planning 9,500 154,000 0.18%
33 PNC FINANCIAL SERVICES GROUP, INC. 6,176 100,000 0.12%
34 JPMORGAN CHASE & CO 4,607 75,000 0.09%
35 D.A. DAVIDSON & CO. 2,700 43,000 0.05%
36 Baystate Wealth Management LLC 2,500 42,000 0.05%
37 Ledyard National Bank 1,875 30,000 0.04%
38 CENTRAL BANK & TRUST CO 1,000 16,000 0.02%
39 MANUFACTURERS LIFE INSURANCE COMPANY, THE 539 9,000 0.01%
40 SEI INVESTMENTS CO 32 1,000 0.00%
41 MUFG Americas Holdings Corp 89 1,000 0.00%
42 FIRST MANHATTAN CO. LLC. 21 0 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.