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HANCOCK JOHN PFD INCOME FD
HANCOCK JOHN PFD INCOME FD. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 42 Institutional holders with a total value of $47,316,794.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GUGGENHEIM CAPITAL LLC 458,127 9,188,000 19.42%
2 FRONTIER INVESTMENT MGMT CO 398,685 7,972,000 16.85%
3 UBS AG 206,417 4,139,000 8.75%
4 Invesco Ltd. 197,646 3,963,000 8.38%
5 LPL Financial LLC 130,112 2,594,000 5.48%
6 CREDIT SUISSE AG/ 112,717 2,260,000 4.78%
7 PRING TURNER CAPITAL GROUP INC 86,600 1,736,000 3.67%
8 Commonwealth Equity Services, Inc 77,127 1,546,000 3.27%
9 ROYAL BANK OF CANADA 74,755 1,499,000 3.17%
10 Capital Investment Advisors, LLC 73,284 1,469,000 3.10%
11 BANK OF AMERICA CORP /DE/ 60,875 1,221,000 2.58%
12 MORGAN STANLEY 56,312 1,129,000 2.39%
13 WELLS FARGO & COMPANY/MN 55,284 1,109,000 2.34%
14 ROBINSON CAPITAL MANAGEMENT, LLC 54,295 1,089,000 2.30%
15 Pine River Capital Management L.P. 48,156 966,000 2.04%
16 COHEN & STEERS, INC. 38,524 772,000 1.63%
17 INVESTMENT CENTERS OF AMERICA INC 32,748 656,000 1.39%
18 VICUS CAPITAL 30,974 621,000 1.31%
19 Cambridge Investment Research Advisors, Inc. 29,662 595,000 1.26%
20 Investors Capital Advisory Services 24,955 500,000 1.06%
21 NWAM LLC 17,875 358,000 0.76%
22 MONROE BANK & TRUST/MI 15,455 310,000 0.66%
23 Windsor Capital Management, LLC 13,892 279,000 0.59%
24 CORNERSTONE ADVISORS INC 12,323 247,000 0.52%
25 GOLDMAN SACHS GROUP INC 10,747 215,000 0.45%
26 MANNING & NAPIER ADVISORS LLC 10,500 210,000 0.44% PRN
27 ProVise Management Group, LLC 10,000 201,000 0.42%
28 AMERICAN INTERNATIONAL GROUP, INC. 8,206 164,531 0.35%
29 Creative Planning 3,497 70,000 0.15%
30 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,250 45,000 0.10%
31 AMERIPRISE FINANCIAL INC 1,934 39,000 0.08%
32 D.A. DAVIDSON & CO. 1,800 36,000 0.08%
33 WFG Advisors, LP 1,705 34,000 0.07%
34 PRIVATE TRUST CO NA 855 17,000 0.04%
35 MassMutual Private Wealth & Trust, FSB 660 13,233 0.03%
36 Winslow, Evans & Crocker, Inc. 600 12,030 0.03%
37 NEXT Financial Group, Inc 600 12,000 0.03%
38 Financial Architects, Inc 400 8,000 0.02%
39 BANK OF MONTREAL /CAN/ 324 7,000 0.01%
40 Tower Research Capital LLC (TRC) 303 6,000 0.01%
41 Regal Investment Advisors LLC 250 5,000 0.01%
42 US BANCORP \DE\ 200 4,000 0.01%

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.