| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | UBS Group AG | 140,446 | 1,151,000 | 38.92% | ||
| 2 | GUGGENHEIM CAPITAL LLC | 55,927 | 458,000 | 15.49% | ||
| 3 | MORGAN STANLEY | 29,916 | 245,000 | 8.28% | ||
| 4 | Aviance Capital Partners, LLC | 26,050 | 214,000 | 7.24% | ||
| 5 | LPL Financial LLC | 22,192 | 178,000 | 6.02% | ||
| 6 | BANK OF AMERICA CORP /DE/ | 18,721 | 154,000 | 5.21% | ||
| 7 | CORNERSTONE ADVISORS INC | 18,070 | 148,000 | 5.00% | ||
| 8 | First Allied Advisory Services, Inc. | 17,000 | 139,000 | 4.70% | ||
| 9 | WELLS FARGO & COMPANY/MN | 11,701 | 96,000 | 3.25% | ||
| 10 | D.A. DAVIDSON & CO. | 9,400 | 77,000 | 2.60% | ||
| 11 | AMERICAN INTERNATIONAL GROUP, INC. | 6,000 | 49,200 | 1.66% | ||
| 12 | FIFTH THIRD BANCORP | 2,580 | 21,000 | 0.71% | ||
| 13 | Tower Research Capital LLC (TRC) | 2,053 | 17,000 | 0.57% | ||
| 14 | ROYAL BANK OF CANADA | 1,183 | 10,000 | 0.34% |
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.
