Dark
Light
System
Security
HSBC HLDGS PLC ADR A 1/40PF A
HSBC HLDGS PLC ADR A 1/40PF A. Institutional holdings reported to the SEC.

Institutional Holders (2015Q3)
Portfolio Summary: 94 Institutional holders with a total value of $237,387,770.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Oakworth Capital, Inc. 31 1,000 0.00%
2 Kistler-Tiffany Companies, LLC 111 3,000 0.00%
3 Orion Porfolio Solutions, LLC 115 3,000 0.00%
4 MYCIO WEALTH PARTNERS, LLC 167 4,000 0.00%
5 SEI INVESTMENTS CO 167 4,000 0.00%
6 Brookstone Capital Management 213 5,000 0.00%
7 Sandy Spring Bank 230 6,000 0.00%
8 Klingman & Associates, LLC 375 9,000 0.00%
9 Whitnell & Co. 400 10,000 0.00%
10 FIRST MANHATTAN CO. LLC. 418 10,000 0.00%
11 JFS WEALTH ADVISORS, LLC 400 10,000 0.00%
12 Winslow, Evans & Crocker, Inc. 400 10,120 0.00%
13 Estabrook Capital Management 500 12,650 0.01%
14 Nelson Capital Management, LLC 500 13,000 0.01%
15 SONORA INVESTMENT MANAGEMENT, LLC 600 15,000 0.01%
16 CITY HOLDING CO 800 20,000 0.01%
17 Cowen Prime Services LLC 775 20,000 0.01%
18 BlackRock Investment Management, LLC 1,000 25,000 0.01%
19 LBA Wealth Management, LLC 1,000 25,000 0.01%
20 Endurance Wealth Management, Inc. 1,000 25,000 0.01%
21 WESTPORT RESOURCES MANAGEMENT INC 1,100 28,000 0.01%
22 Focused Wealth Management, Inc 1,136 29,000 0.01%
23 TORONTO DOMINION BANK 1,350 34,000 0.01%
24 Ledyard National Bank 1,500 38,000 0.02%
25 Community Bank, N.A. 2,000 51,000 0.02%
26 Carroll Financial Associates, Inc. 2,040 52,000 0.02%
27 CENTRAL TRUST Co 2,100 53,000 0.02%
28 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 2,465 62,000 0.03%
29 Mercer Capital Advisers, Inc. 2,500 63,000 0.03%
30 Creative Planning 2,779 70,000 0.03%
31 Independent Portfolio Consultants, Inc. 2,875 73,000 0.03%
32 FIFTH THIRD BANCORP 4,200 106,000 0.04%
33 COHEN & STEERS, INC. 4,317 109,000 0.05%
34 DEUTSCHE BANK AG\ 4,587 116,000 0.05%
35 LADENBURG THALMANN FINANCIAL SERVICES INC. 5,874 149,000 0.06%
36 ROCKEFELLER FINANCIAL SERVICES INC 7,000 177,000 0.07%
37 INTEGRATED WEALTH MANAGEMENT 7,720 195,000 0.08%
38 MSI Financial Services Inc 7,791 197,000 0.08%
39 D.A. DAVIDSON & CO. 8,000 202,000 0.09%
40 OPPENHEIMER & CO INC 8,003 202,000 0.09%
41 MONARCH CAPITAL MANAGEMENT INC 8,400 213,000 0.09%
42 Formidable Asset Management, LLC 8,600 217,000 0.09%
43 LORING WOLCOTT & COOLIDGE FIDUCIARY ADVISORS LLP/MA 9,000 227,000 0.10%
44 ROOSEVELT INVESTMENT GROUP LLC 9,465 239,000 0.10%
45 SEGALL BRYANT & HAMILL, LLC 9,500 240,000 0.10%
46 BENJAMIN F. EDWARDS & COMPANY, INC. 10,033 254,000 0.11%
47 DUNCKER STREETT & CO INC 10,054 254,000 0.11%
48 Alpha Cubed Investments, LLC 10,000 257,000 0.11%
49 NORTHERN TRUST CORP 10,150 257,000 0.11%
50 CIBC Private Wealth Group LLC 10,500 266,000 0.11%
Page 1 of 2

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.