| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | SIT INVESTMENT ASSOCIATES INC | 1,538,647 | 21,680,000 | 63.74% | ||
| 2 | 1607 Capital Partners, LLC | 565,467 | 7,967,000 | 23.42% | ||
| 3 | ICON ADVISERS INC/CO | 85,088 | 1,199,000 | 3.53% | ||
| 4 | LPL Financial LLC | 73,925 | 1,038,000 | 3.05% | ||
| 5 | WELLS FARGO & COMPANY/MN | 33,381 | 470,000 | 1.38% | ||
| 6 | MORGAN STANLEY | 30,249 | 426,000 | 1.25% | ||
| 7 | Cetera Advisor Networks LLC | 27,577 | 389,000 | 1.14% | ||
| 8 | RAYMOND JAMES & ASSOCIATES | 14,624 | 206,000 | 0.61% | ||
| 9 | Commonwealth Equity Services, Inc | 10,756 | 152,000 | 0.45% | ||
| 10 | BANK OF AMERICA CORP /DE/ | 9,209 | 130,000 | 0.38% | ||
| 11 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 6,489 | 91,000 | 0.27% | ||
| 12 | UBS Group AG | 5,162 | 72,000 | 0.21% | ||
| 13 | IFP ADVISORS, INC | 3,715 | 52,000 | 0.15% | ||
| 14 | People's United Financial, Inc. | 2,800 | 39,000 | 0.11% | ||
| 15 | Thomas J. Herzfeld Advisors, Inc. | 2,535 | 36,000 | 0.11% | ||
| 16 | ROYAL BANK OF CANADA | 2,000 | 28,000 | 0.08% | ||
| 17 | Creative Planning | 1,626 | 23,000 | 0.07% | ||
| 18 | ADVISOR GROUP, INC. | 1,070 | 15,000 | 0.04% |
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.
