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

Institutional Holders (2017Q1)
Portfolio Summary: 41 Institutional holders with a total value of $63,595,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 798,244 14,719,000 23.14%
2 Spectrum Asset Management, Inc. 646,421 11,920,000 18.74%
3 UBS Group AG 526,907 9,716,000 15.28%
4 Invesco Ltd. 286,831 5,289,000 8.32%
5 BANK OF AMERICA CORP /DE/ 272,028 5,016,000 7.89%
6 GUGGENHEIM CAPITAL LLC 116,243 2,143,000 3.37%
7 LPL Financial LLC 84,791 1,582,000 2.49%
8 NWAM LLC 74,992 1,383,000 2.17%
9 ROBINSON CAPITAL MANAGEMENT, LLC 64,867 1,196,000 1.88%
10 ROYAL BANK OF CANADA 64,365 1,187,000 1.87%
11 COHEN & STEERS, INC. 58,380 1,077,000 1.69%
12 WELLS FARGO & COMPANY/MN 57,209 1,055,000 1.66%
13 Capital Investment Advisors, LLC 53,756 991,000 1.56%
14 SIT INVESTMENT ASSOCIATES INC 42,183 778,000 1.22%
15 Shaker Financial Services, LLC 34,853 643,000 1.01%
16 Raymond James Financial Services Advisors, Inc. 24,074 444,000 0.70%
17 IFP ADVISORS, INC 23,471 433,000 0.68%
18 Partnervest Advisory Services LLC 22,593 417,000 0.66%
19 NATIONAL PLANNING CORP 20,893 389,000 0.61%
20 Annex Advisory Services, LLC 20,100 371,000 0.58%
21 Commonwealth Equity Services, Inc 18,964 350,000 0.55%
22 Cetera Advisor Networks LLC 16,472 302,000 0.47%
23 AMERIPRISE FINANCIAL INC 15,784 291,000 0.46%
24 OLD NATIONAL BANCORP /IN/ 15,170 280,000 0.44%
25 PNC FINANCIAL SERVICES GROUP, INC. 14,056 259,000 0.41%
26 Brown Advisory Securities, LLC 12,924 236,000 0.37%
27 Stratos Wealth Partners, LTD. 11,725 216,000 0.34%
28 SII INVESTMENTS INC/WI 11,210 210,000 0.33%
29 ADVISOR GROUP, INC. 11,328 208,000 0.33%
30 LADENBURG THALMANN FINANCIAL SERVICES INC. 7,252 134,000 0.21%
31 GENEOS WEALTH MANAGEMENT INC. 4,658 85,000 0.13%
32 NEXT Financial Group, Inc 3,790 72,000 0.11%
33 Creative Planning 2,980 55,000 0.09%
34 PARALLEL ADVISORS, LLC 2,939 55,000 0.09%
35 North Star Investment Management Corp. 2,070 38,000 0.06%
36 IHT WEALTH MANAGEMENT, LLC 1,000 18,000 0.03%
37 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 737 14,000 0.02%
38 GLOBAL RETIREMENT PARTNERS, LLC 764 14,000 0.02%
39 PENSERRA CAPITAL MANAGEMENT LLC 443 8,000 0.01%
40 CITIGROUP INC 74 1,000 0.00%
41 MUFG Americas Holdings Corp 15 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.