| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | GUGGENHEIM CAPITAL LLC | 763,890 | 13,093,000 | 25.12% | ||
| 2 | MORGAN STANLEY | 588,864 | 10,092,000 | 19.36% | ||
| 3 | UBS AG | 584,741 | 10,022,000 | 19.23% | ||
| 4 | Invesco Ltd. | 487,619 | 8,358,000 | 16.03% | ||
| 5 | Karpus Management, Inc. | 175,711 | 3,012,000 | 5.78% | ||
| 6 | NATIONAL PLANNING CORP | 113,310 | 1,882,000 | 3.61% | ||
| 7 | WELLS FARGO & COMPANY/MN | 103,149 | 1,768,000 | 3.39% | ||
| 8 | Aviance Capital Partners, LLC | 81,800 | 1,402,000 | 2.69% | ||
| 9 | AMERIPRISE FINANCIAL INC | 40,615 | 696,000 | 1.34% | ||
| 10 | BANK OF AMERICA CORP /DE/ | 31,793 | 545,000 | 1.05% | ||
| 11 | LPL Financial LLC | 27,672 | 464,000 | 0.89% | ||
| 12 | ROYAL BANK OF CANADA | 14,190 | 243,000 | 0.47% | ||
| 13 | Investors Capital Advisory Services | 13,629 | 233,000 | 0.45% | ||
| 14 | OPPENHEIMER & CO INC | 10,705 | 183,000 | 0.35% | ||
| 15 | Tower Research Capital LLC (TRC) | 3,452 | 59,000 | 0.11% | ||
| 16 | FIFTH THIRD BANCORP | 1,078 | 18,000 | 0.03% | ||
| 17 | AMERICAN INTERNATIONAL GROUP, INC. | 1,000 | 17,140 | 0.03% | ||
| 18 | REILLY FINANCIAL ADVISORS, LLC | 1,000 | 17,000 | 0.03% | ||
| 19 | MSI Financial Services Inc | 500 | 9,000 | 0.02% | ||
| 20 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 500 | 9,000 | 0.02% | ||
| 21 | NEXT Financial Group, Inc | 245 | 4,000 | 0.01% | ||
| 22 | Ground Swell Capital, LLC | 200 | 3,000 | 0.01% |
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.
