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

Institutional Holders (2016Q3)
Portfolio Summary: 36 Institutional holders with a total value of $50,064,028.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Parallax Volatility Advisers, L.P. 1 0 0.00%
2 Concert Wealth Management Inc. 90 1,000 0.00%
3 People's United Financial, Inc. 260 3,000 0.01%
4 BANK OF MONTREAL /CAN/ 400 5,000 0.01%
5 GENEOS WEALTH MANAGEMENT INC. 650 8,000 0.02%
6 Creative Planning 805 11,000 0.02%
7 JPMORGAN CHASE & CO 1,067 14,000 0.03%
8 BALDWIN WEALTH PARTNERS LLC/MA 2,000 27,000 0.05%
9 WELLS FARGO & COMPANY/MN 2,426 33,000 0.07%
10 UBS Group AG 2,661 36,000 0.07%
11 ROYAL BANK OF CANADA 3,130 42,000 0.08%
12 NEXT Financial Group, Inc 3,326 45,000 0.09%
13 IFP ADVISORS, INC 3,957 53,000 0.11%
14 CITIGROUP INC 4,950 67,000 0.13%
15 Vantage Investment Advisors, LLC 7,090 95,000 0.19%
16 LADENBURG THALMANN FINANCIAL SERVICES INC. 7,981 108,000 0.22%
17 ADVISOR GROUP, INC. 8,433 114,000 0.23%
18 Commonwealth Equity Services, Inc 13,963 188,000 0.38%
19 WEALTHPLAN PARTNERS, LLC 14,694 196,028 0.39%
20 SUSQUEHANNA INTERNATIONAL GROUP, LLP 19,790 266,000 0.53%
21 Advisory Services Network, LLC 20,322 274,000 0.55%
22 Cambridge Investment Research Advisors, Inc. 21,173 285,000 0.57%
23 MSI Financial Services Inc 24,445 329,000 0.66%
24 First Allied Advisory Services, Inc. 27,893 375,000 0.75%
25 GUGGENHEIM CAPITAL LLC 31,469 424,000 0.85%
26 INVESTMENT CENTERS OF AMERICA INC 39,120 526,000 1.05%
27 Freedom Investment Management, Inc. 43,425 585,000 1.17%
28 JANE STREET GROUP, LLC 47,204 635,000 1.27%
29 Janney Montgomery Scott LLC 85,985 1,157,000 2.31%
30 LPL Financial LLC 93,461 1,247,000 2.49%
31 Partnervest Advisory Services LLC 112,228 1,511,000 3.02%
32 MORGAN STANLEY 156,299 2,104,000 4.20%
33 ENVESTNET ASSET MANAGEMENT INC 163,704 2,203,000 4.40%
34 BANK OF AMERICA CORP /DE/ 262,991 3,540,000 7.07%
35 Gradient Investments LLC 433,311 5,832,000 11.65%
36 AVIANCE CAPITAL MANAGEMENT, LLC 2,059,835 27,725,000 55.38%

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.