Dark
Light
System
Security
HANCOCK JOHN PFD INCOME FD I
HANCOCK JOHN PFD INCOME FD I. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 39 Institutional holders with a total value of $71,037,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 860,635 16,645,000 23.43%
2 Spectrum Asset Management, Inc. 646,421 12,502,000 17.60%
3 UBS Group AG 587,862 11,369,000 16.00%
4 BANK OF AMERICA CORP /DE/ 440,814 8,525,000 12.00%
5 Invesco Ltd. 285,124 5,514,000 7.76%
6 LPL Financial LLC 142,571 2,697,000 3.80%
7 GUGGENHEIM CAPITAL LLC 111,065 2,148,000 3.02%
8 NWAM LLC 76,142 1,473,000 2.07%
9 ROYAL BANK OF CANADA 60,386 1,168,000 1.64%
10 Capital Investment Advisors, LLC 56,672 1,096,000 1.54%
11 WELLS FARGO & COMPANY/MN 53,705 1,038,000 1.46%
12 LADENBURG THALMANN FINANCIAL SERVICES INC. 42,472 821,000 1.16%
13 Cetera Advisor Networks LLC 33,790 654,000 0.92%
14 SIT INVESTMENT ASSOCIATES INC 32,783 634,000 0.89%
15 Raymond James Financial Services Advisors, Inc. 27,984 541,000 0.76%
16 PNC FINANCIAL SERVICES GROUP, INC. 27,912 540,000 0.76%
17 Horizon Kinetics LLC 25,382 491,000 0.69%
18 IFP ADVISORS, INC 25,354 490,000 0.69%
19 MSI Financial Services Inc 25,078 485,000 0.68%
20 Partnervest Advisory Services LLC 23,432 453,000 0.64%
21 OLD NATIONAL BANCORP /IN/ 15,170 293,000 0.41%
22 SII INVESTMENTS INC/WI 14,717 285,000 0.40%
23 Commonwealth Equity Services, Inc 14,238 275,000 0.39%
24 Brown Advisory Securities, LLC 12,072 232,000 0.33%
25 ADVISOR GROUP, INC. 8,738 169,000 0.24%
26 ENVESTNET ASSET MANAGEMENT INC 6,106 118,000 0.17%
27 NEXT Financial Group, Inc 5,244 101,000 0.14%
28 GENEOS WEALTH MANAGEMENT INC. 5,058 97,000 0.14%
29 North Star Investment Management Corp. 3,070 59,000 0.08%
30 Creative Planning 2,605 50,000 0.07%
31 ARROW FINANCIAL CORP 948 18,000 0.03%
32 Advisory Alpha, LLC 658 13,000 0.02%
33 MANUFACTURERS LIFE INSURANCE COMPANY, THE 600 12,000 0.02%
34 INTEGRATED WEALTH MANAGEMENT 400 8,000 0.01%
35 PENSERRA CAPITAL MANAGEMENT LLC 453 8,000 0.01%
36 Advisory Services Network, LLC 350 7,000 0.01%
37 US BANCORP \DE\ 341 7,000 0.01%
38 CITIGROUP INC 62 1,000 0.00%
39 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.