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AVANTAX INC COM
AVANTAX INC COM. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 164 Institutional holders with a total value of $410,340,188.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLINGTON MANAGEMENT GROUP LLP 4,262,758 47,743,000 11.63%
2 DIMENSIONAL FUND ADVISORS LP 3,523,268 39,461,000 9.62%
3 VANGUARD GROUP INC 3,275,247 36,683,000 8.94%
4 BlackRock Fund Advisors 2,816,280 31,542,000 7.69%
5 FIRST TRUST ADVISORS LP 1,847,004 20,686,000 5.04%
6 RENAISSANCE TECHNOLOGIES LLC 1,276,100 14,292,000 3.48%
7 Pennant Capital Management, LLC 1,181,474 13,233,000 3.22%
8 BlackRock Institutional Trust Company, N.A. 1,117,499 12,516,000 3.05%
9 MORGAN STANLEY 1,094,257 12,255,000 2.99%
10 NORGES BANK 1,122,811 12,011,000 2.93%
11 STATE STREET CORP 1,027,149 11,508,000 2.80%
12 Park West Asset Management LLC 1,000,000 11,200,000 2.73%
13 GAMCO INVESTORS, INC. ET AL 837,680 9,382,000 2.29%
14 ROYCE & ASSOCIATES LP 810,253 9,075,000 2.21%
15 Permit Capital, LLC 670,315 7,508,000 1.83%
16 Numeric Investors LLC 576,800 6,460,000 1.57%
17 GABELLI FUNDS LLC 536,000 6,003,000 1.46%
18 NORTHERN TRUST CORP 459,287 5,145,000 1.25%
19 Bank of New York Mellon Corp 416,031 4,659,000 1.14%
20 Park West Asset Management LLC 387,946 4,345,000 1.06% Call
21 NORTHPOINTE CAPITAL LLC 356,261 3,990,000 0.97%
22 Invesco Ltd. 320,115 3,585,000 0.87%
23 Allianz Asset Management GmbH 311,965 3,494,000 0.85%
24 ClariVest Asset Management LLC 307,781 3,446,000 0.84%
25 GEODE CAPITAL MANAGEMENT, LLC 294,154 3,294,000 0.80%
26 PRINCIPAL FINANCIAL GROUP INC 276,333 3,095,000 0.75%
27 DEUTSCHE BANK AG\ 264,990 2,966,000 0.72%
28 CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC. 211,400 2,367,000 0.58%
29 Boston Partners 207,651 2,326,000 0.57%
30 Connor, Clark & Lunn Investment Management Ltd. 198,116 2,219,000 0.54%
31 AMERIPRISE FINANCIAL INC 193,365 2,165,000 0.53%
32 SUSQUEHANNA INTERNATIONAL GROUP, LLP 187,400 2,099,000 0.51% Call
33 BlackRock Investment Management, LLC 180,929 2,026,000 0.49%
34 Cowen Prime Services LLC 180,600 2,023,000 0.49%
35 WELLS FARGO & COMPANY/MN 177,693 1,991,000 0.49%
36 PARAMETRIC PORTFOLIO ASSOCIATES LLC 175,150 1,962,000 0.48%
37 SUSQUEHANNA INTERNATIONAL GROUP, LLP 168,300 1,885,000 0.46% Put
38 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 159,001 1,781,000 0.43%
39 PUTNAM INVESTMENTS LLC 154,375 1,729,000 0.42%
40 D. E. Shaw & Co., Inc. 151,779 1,700,000 0.41%
41 Portolan Capital Management, LLC 129,089 1,446,000 0.35%
42 NEW YORK STATE TEACHERS RETIREMENT SYSTEM 126,921 1,422,000 0.35%
43 GLOBEFLEX CAPITAL L P 120,244 1,347,000 0.33%
44 TIAA CREF INVESTMENT MANAGEMENT LLC 119,813 1,342,000 0.33%
45 Hutchin Hill Capital, LP 110,900 1,242,000 0.30%
46 AQR CAPITAL MANAGEMENT LLC 108,267 1,212,000 0.30%
47 TWO SIGMA INVESTMENTS, LP 104,030 1,165,000 0.28%
48 HIGHBRIDGE CAPITAL MANAGEMENT LLC 104,000 1,165,000 0.28%
49 Gotham Asset Management, LLC 101,400 1,136,000 0.28%
50 HAP Trading, LLC 98,225 1,100,000 0.27%
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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.