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COMPASS EMP FDS TR
COMPASS EMP FDS TR. Institutional holdings reported to the SEC.

Institutional Holders (2015Q2)
Portfolio Summary: 16 Institutional holders with a total value of $38,968,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 NATIONAL PLANNING CORP 374,624 13,629,000 34.97%
2 LPL Financial LLC 349,207 12,460,000 31.97%
3 VICTORY CAPITAL MANAGEMENT INC 107,278 3,825,000 9.82%
4 LADENBURG THALMANN FINANCIAL SERVICES INC. 107,197 3,819,000 9.80%
5 RAYMOND JAMES & ASSOCIATES 40,331 1,427,000 3.66%
6 ROYAL BANK OF CANADA 31,690 1,121,000 2.88%
7 JANE STREET GROUP, LLC 23,681 838,000 2.15%
8 SUSQUEHANNA INTERNATIONAL GROUP, LLP 14,247 504,000 1.29%
9 ENVESTNET ASSET MANAGEMENT INC 11,621 411,000 1.05%
10 Raymond James Financial Services Advisors, Inc. 10,145 359,000 0.92%
11 CWM, LLC 8,417 298,000 0.76%
12 CapWealth Advisors, LLC 4,202 149,000 0.38%
13 NEXT Financial Group, Inc 3,476 122,000 0.31%
14 Tower Research Capital LLC (TRC) 120 4,000 0.01%
15 UBS Group AG 65 2,000 0.01%
16 Parallax Volatility Advisers, L.P. 1 0 0.00%

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.