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GLOBAL X FDS
GLOBAL X FDS. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 59 Institutional holders with a total value of $265,770,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 7,045,558 81,517,000 30.67%
2 MORGAN STANLEY 2,994,324 34,645,000 13.04%
3 BANK OF AMERICA CORP /DE/ 2,262,955 26,182,000 9.85%
4 AVIANCE CAPITAL MANAGEMENT, LLC 1,744,556 20,185,000 7.59%
5 Charles Schwab Investment Advisory, Inc. 1,351,137 15,633,000 5.88%
6 NOTTINGHAM ADVISORS, INC. 1,174,816 13,593,000 5.11%
7 UBS Group AG 736,923 8,526,000 3.21%
8 EDMONDS DUNCAN REGISTERED INVESTMENT ADVISORS, LLC 732,555 8,476,000 3.19%
9 Gradient Investments LLC 668,009 7,729,000 2.91%
10 HARVEST CAPITAL MANAGEMENT INC 625,142 7,232,000 2.72%
11 RAYMOND JAMES & ASSOCIATES 559,172 6,470,000 2.43%
12 Maryland Capital Management 501,377 5,801,000 2.18%
13 TILLER PRIVATE WEALTH, INC. 498,009 5,762,000 2.17%
14 VENTURI WEALTH MANAGEMENT, LLC 366,068 4,235,000 1.59%
15 CORNERSTONE ADVISORY, LLC 189,119 2,188,000 0.82%
16 Community Bank, N.A. 184,015 2,129,000 0.80%
17 Prospera Financial Services Inc 146,150 1,691,000 0.64%
18 Friedenthal Financial 105,064 1,216,000 0.46%
19 JPMORGAN CHASE & CO 96,023 1,111,000 0.42%
20 Capital Advisors, Ltd. LLC 88,277 1,021,000 0.38%
21 MILLER HOWARD INVESTMENTS INC /NY 81,204 940,000 0.35%
22 Lattice Strategies LLC 71,659 829,000 0.31%
23 SUSQUEHANNA INTERNATIONAL GROUP, LLP 70,695 818,000 0.31%
24 PINNACLE ASSOCIATES LTD 65,550 758,000 0.29%
25 NEWFOUND RESEARCH LLC 64,088 741,000 0.28%
26 HighTower Advisors, LLC 59,941 696,000 0.26%
27 Whitegate Investment Counselors, Inc. 58,656 679,000 0.26%
28 WESTBOURNE INVESTMENT ADVISORS, INC. 55,700 644,000 0.24%
29 CARRET ASSET MANAGEMENT, LLC 46,950 543,000 0.20%
30 STEPHENS INC /AR/ 39,250 454,000 0.17%
31 D.A. DAVIDSON & CO. 36,857 426,000 0.16%
32 Commonwealth Equity Services, Inc 30,722 355,000 0.13%
33 LPL Financial LLC 22,097 258,000 0.10%
34 Raymond James Financial Services Advisors, Inc. 18,985 220,000 0.08%
35 Arete Wealth Advisors, LLC 18,917 219,000 0.08%
36 SMITH, MOORE & CO. 15,328 177,000 0.07%
37 AMERIPRISE FINANCIAL INC 14,688 170,000 0.06%
38 Steinberg Global Asset Management 13,950 161,000 0.06%
39 Janney Montgomery Scott LLC 13,665 158,000 0.06%
40 Advisors Asset Management, Inc. 13,422 155,000 0.06%
41 ROYAL BANK OF CANADA 12,864 149,000 0.06%
42 CARNICK & KUBIK GROUP, LLC 11,290 131,000 0.05%
43 BANK OF MONTREAL /CAN/ 11,528 130,000 0.05%
44 STIFEL FINANCIAL CORP 10,870 126,000 0.05%
45 CITADEL ADVISORS LLC 10,584 122,000 0.05%
46 ENVESTNET ASSET MANAGEMENT INC 10,273 118,000 0.04%
47 LADENBURG THALMANN FINANCIAL SERVICES INC. 9,705 112,000 0.04%
48 Creative Planning 4,713 55,000 0.02%
49 GLOBAL RETIREMENT PARTNERS, LLC 2,376 27,000 0.01%
50 IFP ADVISORS, INC 2,100 24,000 0.01%
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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.