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

Institutional Holders (2014Q4)
Portfolio Summary: 42 Institutional holders with a total value of $64,533,038.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 950,640 16,988,000 26.32%
2 Spectrum Asset Management, Inc. 670,344 11,979,000 18.56%
3 GUGGENHEIM CAPITAL LLC 383,615 6,857,000 10.63%
4 Invesco Ltd. 356,080 6,363,000 9.86%
5 UBS Group AG 338,760 6,054,000 9.38%
6 BANK OF AMERICA CORP /DE/ 186,315 3,329,000 5.16%
7 CREDIT SUISSE AG/ 104,685 1,871,000 2.90%
8 NWAM LLC 83,752 1,497,000 2.32%
9 BURNEY CO/ 78,266 1,399,000 2.17%
10 ROYAL BANK OF CANADA 70,768 1,264,000 1.96%
11 Capital Investment Advisors, LLC 70,421 1,258,000 1.95%
12 WELLS FARGO & COMPANY/MN 67,585 1,207,000 1.87%
13 LPL Financial LLC 64,300 1,149,000 1.78%
14 OLD NATIONAL BANCORP /IN/ 37,816 676,000 1.05%
15 North Star Investment Management Corp. 21,970 393,000 0.61%
16 Commonwealth Equity Services, Inc 15,246 272,000 0.42%
17 UNITED CAPITAL FINANCIAL ADVISORS, LLC 14,554 260,000 0.40%
18 INVESTMENT CENTERS OF AMERICA INC 13,689 245,000 0.38%
19 ENVESTNET ASSET MANAGEMENT INC 13,398 239,000 0.37%
20 AMERICAN INTERNATIONAL GROUP, INC. 10,893 194,658 0.30%
21 PNC FINANCIAL SERVICES GROUP, INC. 9,000 161,000 0.25%
22 FIFTH THIRD BANCORP 8,490 152,000 0.24%
23 Tower Research Capital LLC (TRC) 5,700 102,000 0.16%
24 US BANCORP \DE\ 4,581 82,000 0.13%
25 LADENBURG THALMANN FINANCIAL SERVICES INC. 3,898 70,000 0.11%
26 B. Riley Wealth Advisors, Inc. 3,696 66,000 0.10%
27 NEXT Financial Group, Inc 3,218 58,000 0.09%
28 NATIONAL PLANNING CORP 2,950 54,251 0.08%
29 BENJAMIN F. EDWARDS & COMPANY, INC. 3,034 54,000 0.08%
30 MSI Financial Services Inc 2,653 47,000 0.07%
31 FineMark National Bank & Trust 2,400 43,000 0.07%
32 Creative Planning 2,300 41,000 0.06%
33 Formidable Asset Management, LLC 1,730 31,000 0.05%
34 CAPTRUST FINANCIAL ADVISORS 1,630 29,000 0.04%
35 Somerset Trust Co 900 16,000 0.02%
36 BANK OF MONTREAL /CAN/ 575 10,000 0.02%
37 Raab & Moskowitz Asset Management LLC 400 7,000 0.01%
38 Stratos Wealth Partners, LTD. 343 6,129 0.01%
39 Transamerica Financial Advisors, LLC 300 6,000 0.01%
40 NEW ENGLAND SECURITIES CORP /MA/ 100 2,000 0.00%
41 CITIGROUP INC 29 1,000 0.00%
42 WFG Advisors, LP 10 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.