Dark
Light
System
Security
LADENBURG THALMAN FIN SVCS I
LADENBURG THALMAN FIN SVCS I. Institutional holdings reported to the SEC.

Institutional Holders (2016Q1)
Portfolio Summary: 86 Institutional holders with a total value of $55,355,015.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Tower Research Capital LLC (TRC) 200 0 0.00%
2 PNC FINANCIAL SERVICES GROUP, INC. 80 0 0.00%
3 REILLY FINANCIAL ADVISORS, LLC 20 0 0.00%
4 Winslow, Evans & Crocker, Inc. 6 15 0.00%
5 IFP ADVISORS, INC 257 1,000 0.00%
6 FIRST MANHATTAN CO. LLC. 482 1,000 0.00%
7 BANK OF MONTREAL /CAN/ 1,001 3,000 0.01%
8 FIFTH THIRD BANCORP 1,000 3,000 0.01%
9 BARCLAYS PLC 2,124 4,000 0.01%
10 Walleye Trading LLC 2,500 6,000 0.01%
11 GREAT AMERICAN GROUP, INC. 81,050 6,000 0.01%
12 Advisory Services Network, LLC 3,000 8,000 0.01%
13 Creative Planning 4,089 10,000 0.02%
14 BlackRock Finance, Inc. 6,762 17,000 0.03%
15 Gratus Capital, LLC 10,000 25,000 0.05%
16 Thomas J. Herzfeld Advisors, Inc. 10,000 25,000 0.05%
17 PARAMETRIC PORTFOLIO ASSOCIATES LLC 11,053 28,000 0.05%
18 AMALGAMATED BANK 11,307 28,000 0.05%
19 Concert Wealth Management Inc. 11,609 29,000 0.05%
20 Greenwich Wealth Management LLC 12,110 30,000 0.05%
21 TEACHER RETIREMENT SYSTEM OF TEXAS 12,267 31,000 0.06%
22 ProShare Advisors LLC 12,894 32,000 0.06%
23 BlackRock Group LTD 13,950 35,000 0.06%
24 MENTA CAPITAL LLC 14,351 36,000 0.07%
25 Horizon Kinetics LLC 14,700 37,000 0.07%
26 A.R.T. Advisors, LLC 15,342 38,000 0.07%
27 Focused Wealth Management, Inc 15,250 38,000 0.07%
28 MARSHALL WACE, LLP 16,191 40,000 0.07%
29 Legal & General Group Plc 16,252 40,000 0.07%
30 CITADEL ADVISORS LLC 16,193 40,000 0.07%
31 ALLIANCEBERNSTEIN L.P. 19,300 48,000 0.09%
32 SECOR Capital Advisors, LP 19,762 49,000 0.09%
33 GOFEN & GLOSSBERG LLC /IL/ 20,000 50,000 0.09%
34 Mariner, LLC 25,000 63,000 0.11%
35 BLB&B Advisors, LLC 25,900 65,000 0.12%
36 NOMURA HOLDINGS INC 28,737 72,000 0.13%
37 PRICE T ROWE ASSOCIATES INC /MD/ 29,700 74,000 0.13%
38 BROWN ADVISORY INC 30,000 75,000 0.14%
39 MORGAN STANLEY 34,840 87,000 0.16%
40 WELLS FARGO & COMPANY/MN 34,704 87,000 0.16%
41 DEUTSCHE BANK AG\ 36,624 91,000 0.16%
42 AQR CAPITAL MANAGEMENT LLC 38,218 96,000 0.17%
43 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 39,839 100,000 0.18%
44 Moors & Cabot, Inc. 38,700 107,000 0.19%
45 Catalyst Capital Advisors LLC 45,420 114,000 0.21%
46 Spark Investment Management LLC 46,500 116,000 0.21%
47 VOYA INVESTMENT MANAGEMENT LLC 47,269 118,000 0.21%
48 UBS Group AG 47,552 119,000 0.21%
49 BLACKROCK ADVISORS LLC 51,448 129,000 0.23%
50 Raymond James Financial Services Advisors, Inc. 52,752 132,000 0.24%
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.