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NEW YORK MORTGAGE TRUST INC COM
NEW YORK MORTGAGE TRUST INC COM. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 136 Institutional holders with a total value of $244,836,203.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WealthTrust-Arizona, LLC 11 0 0.00%
2 MOSAIC FAMILY WEALTH, LLC 125 1,000 0.00%
3 TCI Wealth Advisors, Inc. 165 1,000 0.00% PRN
4 PARALLEL ADVISORS, LLC 325 2,000 0.00%
5 IFP ADVISORS, INC 300 2,000 0.00%
6 SIMPLEX TRADING, LLC 336 2,000 0.00%
7 ENVESTNET ASSET MANAGEMENT INC 297 2,000 0.00%
8 CITIZENS FINANCIAL GROUP INC/DE 318 2,000 0.00%
9 CENTRAL TRUST Co 250 2,000 0.00%
10 ROYAL FUND MANAGEMENT, LLC 500 3,000 0.00%
11 ADVISOR GROUP, INC. 575 4,000 0.00%
12 PNC FINANCIAL SERVICES GROUP, INC. 740 4,000 0.00%
13 Winslow, Evans & Crocker, Inc. 750 4,950 0.00%
14 PRELUDE CAPITAL MANAGEMENT, LLC 700 5,000 0.00%
15 BESSEMER GROUP INC 691 5,000 0.00%
16 SALEM INVESTMENT COUNSELORS INC 1,000 7,000 0.00%
17 Tower Research Capital LLC (TRC) 1,074 7,000 0.00%
18 CUTLER GROUP LLC / CA 6,300 7,000 0.00% Put
19 HERNDON CAPITAL MANAGEMENT LLC 1,281 8,000 0.00%
20 EARNEST PARTNERS LLC 1,300 9,000 0.00%
21 BELLWETHER INVESTMENT GROUP, LLC 1,298 9,000 0.00%
22 ADVANTAGE INVESTMENT MANAGEMENT, LLC 1,500 10,000 0.00%
23 PENSERRA CAPITAL MANAGEMENT LLC 1,773 11,000 0.00%
24 GENEOS WEALTH MANAGEMENT INC. 2,500 16,000 0.01%
25 HUNTINGTON NATIONAL BANK 2,500 17,000 0.01%
26 PATRIOT FINANCIAL GROUP INSURANCE AGENCY, LLC 3,000 19,000 0.01%
27 BARCLAYS PLC 3,606 24,000 0.01%
28 JACOBI CAPITAL MANAGEMENT LLC 5,800 40,000 0.02%
29 FIRST FINANCIAL CORP /IN/ 6,500 43,000 0.02%
30 US BANCORP \DE\ 6,502 43,000 0.02%
31 GROUP ONE TRADING LLC 6,616 44,000 0.02%
32 BANK OF MONTREAL /CAN/ 6,650 44,000 0.02%
33 Zurcher Kantonalbank (Zurich Cantonalbank) 6,675 44,000 0.02%
34 CANADA LIFE ASSURANCE Co 7,200 48,000 0.02%
35 Focused Wealth Management, Inc 8,271 55,000 0.02%
36 Spot Trading L.L.C 8,709 57,000 0.02%
37 CUTLER GROUP LLC / CA 8,978 59,000 0.02%
38 Fiduciary Trust Co International of Pennsylvania 10,000 66,000 0.03%
39 WOLVERINE TRADING LP /BD 10,634 70,000 0.03%
40 SII INVESTMENTS INC/WI 11,087 73,000 0.03%
41 BNP PARIBAS FINANCIAL MARKETS 11,402 75,253 0.03%
42 First Allied Advisory Services, Inc. 11,600 77,000 0.03%
43 CITIGROUP INC 12,340 81,000 0.03%
44 WOLVERINE TRADING LP /BD 12,300 81,000 0.03% Call
45 SEI INVESTMENTS CO 13,133 87,000 0.04%
46 AMALGAMATED BANK 13,808 91,000 0.04%
47 AMERIPRISE FINANCIAL INC 14,373 95,000 0.04%
48 Sigma Planning Corp 14,742 97,000 0.04%
49 Spot Trading L.L.C 14,800 98,000 0.04% Put
50 ETRADE Capital Management LLC 15,159 100,000 0.04%
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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.